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 102
... amount restored may exceed the amount by which the wrongdoer was unjustly enriched , if equity would demand that the wrongdoer , rather than the customer , bear the loss.52 We believe restitu- tion to make the customer whole is ...
... amount restored may exceed the amount by which the wrongdoer was unjustly enriched , if equity would demand that the wrongdoer , rather than the customer , bear the loss.52 We believe restitu- tion to make the customer whole is ...
Page 602
... amount of $ 122,188 for trading that occurred between June 1986 and July 1987.9 BSC paid the Accounts a total of between $ 45,000 and $ 55,000 in settlement of Rohr's claim , which it deducted from Donnelly's com- missions.10 Donnelly ...
... amount of $ 122,188 for trading that occurred between June 1986 and July 1987.9 BSC paid the Accounts a total of between $ 45,000 and $ 55,000 in settlement of Rohr's claim , which it deducted from Donnelly's com- missions.10 Donnelly ...
Page 1246
... amount , and bad debt write - offs attributable to nonaffiliates , identified by name and amount , as of the end of each month comprising the quar- ter , provided that , if CSW Credit engages in factoring accounts receiv- able of any ...
... amount , and bad debt write - offs attributable to nonaffiliates , identified by name and amount , as of the end of each month comprising the quar- ter , provided that , if CSW Credit engages in factoring accounts receiv- able of any ...
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