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 |
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Page 225
... basis of the written record.25 Biorelease did not object to a review of the matter on the basis of the record or make a request for oral argument . We find that Biorelease was afforded an ample opportunity to present its views . We find ...
... basis of the written record.25 Biorelease did not object to a review of the matter on the basis of the record or make a request for oral argument . We find that Biorelease was afforded an ample opportunity to present its views . We find ...
Page 505
... basis , in violation of LSI's restriction agreement and Article III , Section 1 of the Association's Rules of Fair Practice.1 LSI was censured , fined $ 10,000 ( jointly and severally with Litwin ) , and prohibited from effect- ing ...
... basis , in violation of LSI's restriction agreement and Article III , Section 1 of the Association's Rules of Fair Practice.1 LSI was censured , fined $ 10,000 ( jointly and severally with Litwin ) , and prohibited from effect- ing ...
Page 1300
... basis for imposing such a sanction and was not a retroactive application of the Remedies Act . Sprecher offers no basis for reconsidering that ruling.19 Sprecher now raises an additional jurisdictional argument . He con- tends that the ...
... basis for imposing such a sanction and was not a retroactive application of the Remedies Act . Sprecher offers no basis for reconsidering that ruling.19 Sprecher now raises an additional jurisdictional argument . He con- tends that 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