United States Securities and Exchange Commission Decisions and Reports |
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Results 1-3 of 73
Page 456
... proceeding against him , including the exercise of prosecutorial discretion , the credibility of the evidence ... proceeding held in a District Court cannot be litigated in a later administrative proceeding ) ; Benjamin G. Sprecher , 52 ...
... proceeding against him , including the exercise of prosecutorial discretion , the credibility of the evidence ... proceeding held in a District Court cannot be litigated in a later administrative proceeding ) ; Benjamin G. Sprecher , 52 ...
Page 457
United States Government Printing Office. C. Lincoln argues that this proceeding is time barred . Lincoln notes that , under Section 2462 of Title 28 of the United States Code , an agency is required to bring " an action , suit , or ...
United States Government Printing Office. C. Lincoln argues that this proceeding is time barred . Lincoln notes that , under Section 2462 of Title 28 of the United States Code , an agency is required to bring " an action , suit , or ...
Page 458
... proceeding arising from a conviction . 16 Even if the court of appeals were to grant Lincoln's request for a retrial and evidence introduced in this proceeding were found to be relevant to the retrial , it does not follow that Lincoln ...
... proceeding arising from a conviction . 16 Even if the court of appeals were to grant Lincoln's request for a retrial and evidence introduced in this proceeding were found to be relevant to the retrial , it does not follow that Lincoln ...
Contents
CONTENTS | 192 |
Members of the Securities and Exchange Commission II | 633 |
Table of Decisions and Reports citing Section of Acts | 652 |
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Act Rel action aff'd agreement appeal Applicants asserts broker broker-dealer capital CBOE CBOT Century Energies Commission Commissioner Committee common stock compliance conduct customers dealer December decision denied determined disciplinary disclosure DJTA DJUA e prime electric engaged England Elec FERC filed findings firm Firm's funds futures contracts hearing holding company imposed interest investment adviser investors issue Kirkpatrick law judge margin market maker markups merger Merrill Lynch Meseck Monroe Parker NASD Rules NASD's Nasdaq NationsBank NationsSecurities NYSE offering operations Paine Webber participants person Potts proceeding proposed purchase pursuant record registered representative repurchase agreements request reset responsible Revcon sanctions SCCP scienter SEC Docket Section Section 10(b Securities Exchange Act securities laws Sensormatic shares South Beloit statements subsidiary Term Trusts testified trading transactions utility violation Wolny WRG's Zubkis