United States Securities and Exchange Commission Decisions and Reports, V. 52, October 1, 1994 to May 27, 1997U.S. Government Printing Office, 1999 - 1359 pages |
From inside the book
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Page 173
... August 14 at approximately $ 2.25 , Wien sold 800 shares to Smith , Barney , Harris Upham & Co. , Inc. , at a price ... August 22 , 1991 , HBC put out a purchase recommenda- tion for SITE common stock . 10 HBC had effected no prior ...
... August 14 at approximately $ 2.25 , Wien sold 800 shares to Smith , Barney , Harris Upham & Co. , Inc. , at a price ... August 22 , 1991 , HBC put out a purchase recommenda- tion for SITE common stock . 10 HBC had effected no prior ...
Page 792
... August 6 , 1993 , Franklin - Lord filed with the NASD a Uniform Ter- mination Notice For Securities Industry Registration , Form U - 5 ( “ Form U - 5 " ) . The Form U - 5 stated that Gibbons was " permitted to resign " because of a ...
... August 6 , 1993 , Franklin - Lord filed with the NASD a Uniform Ter- mination Notice For Securities Industry Registration , Form U - 5 ( “ Form U - 5 " ) . The Form U - 5 stated that Gibbons was " permitted to resign " because of a ...
Page 1324
... August 2 and 3 , 8,040 MWIC shares were purchased through the Oxford Account in eight trades , and on August 3 , 11,410 MWIC shares were sold from the Oxford Account in 40 trades , leaving a balance of 3,360 shares in the account . The ...
... August 2 and 3 , 8,040 MWIC shares were purchased through the Oxford Account in eight trades , and on August 3 , 11,410 MWIC shares were sold from the Oxford Account in 40 trades , leaving a balance of 3,360 shares in the account . The ...
Common terms and phrases
aff'd agreement Applicants Article III asserts Association of Securities broker broker-dealer BT Securities capital claims clients Commission Chairman LEVITT common stock compliance counsel County Pools customers December decision denied disclose District Committee Druz El Paso Entergy equitable principles EWGS fact failed Fair Practice FERC firm's funds Genexus GNMA hearing interest investment adviser investors issue June law judge LEVITT and Commissioners market maker markups member firm ment Merrill Lynch million misconduct municipal securities NASD found NASD Manual CCH NASD's Rules Nasdaq National Association NYSE offering Orange County Paine Webber PaineWebber penny stock person Petrantis principles of trade procedures purchase pursuant record registered representative REGISTERED SECURITIES ASSOCIATION rejected or sustained repurchase agreements request responsible retail Rules of Fair Section Section 10(b Securities Act Securities Dealers Securities Exchange Act shares statements supervision supervisor testified tion transactions Unterbach