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 190
... claims that the described invest- ments were highly profitable and any discussion of the risks of such invest- ments which in light of the material presented caused these advertise- ments to be misleading.21 They also included ...
... claims that the described invest- ments were highly profitable and any discussion of the risks of such invest- ments which in light of the material presented caused these advertise- ments to be misleading.21 They also included ...
Page 639
... claims relating to direct investments , payment of which is to be verified at PaineWeb- ber's expense by an independent public accountant acceptable to the Commission . To the extent that the verified amount paid is greater than or less ...
... claims relating to direct investments , payment of which is to be verified at PaineWeb- ber's expense by an independent public accountant acceptable to the Commission . To the extent that the verified amount paid is greater than or less ...
Page 1146
... claims that these exhibits were somehow designed to establish that Faragalli was manipulating the EECO market . The NYSE's complaint does not allege that Faragalli engaged in a manipulation , and neither the Exchange nor we have made ...
... claims that these exhibits were somehow designed to establish that Faragalli was manipulating the EECO market . The NYSE's complaint does not allege that Faragalli engaged in a manipulation , and neither the Exchange nor we have made ...
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