United States Securities and Exchange Commission Decisions and Reports |
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Page 276
... testified that he had read the Indenture before signing the reset opinion on behalf of the Firm . He testified that he considered Russo Securities to be a " nationally recognized investment banking firm , " as required by the Indenture ...
... testified that he had read the Indenture before signing the reset opinion on behalf of the Firm . He testified that he considered Russo Securities to be a " nationally recognized investment banking firm , " as required by the Indenture ...
Page 782
... testified at the hearing that , at some point in late 1989 , he and Morrow both agreed to the fee arrangement detailed in Kelner's letter . Morrow , moreover , testified at the hearing that he had assumed his " fee " would equal 8 % of ...
... testified at the hearing that , at some point in late 1989 , he and Morrow both agreed to the fee arrangement detailed in Kelner's letter . Morrow , moreover , testified at the hearing that he had assumed his " fee " would equal 8 % of ...
Page 1079
... testified that she believed that Broumas had opened Les Girls to prevent the then - restricted joint account from " being closed out or his position [ from being ] sold out . " Broumas directed 40 JML Class A common stock trades through ...
... testified that she believed that Broumas had opened Les Girls to prevent the then - restricted joint account from " being closed out or his position [ from being ] sold out . " Broumas directed 40 JML Class A common stock trades through ...
Contents
CONTENTS | 192 |
Members of the Securities and Exchange Commission II | 633 |
Table of Decisions and Reports citing Section of Acts | 652 |
Copyright | |
Common terms and phrases
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