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 96
... customers were not customers of USSCC . Rather , Applicants assert , the German customers were cus- tomers of Blinder GmbH.17 Applicants contend that the NASD's markup policy , therefore , does not apply to the transactions at issue ...
... customers were not customers of USSCC . Rather , Applicants assert , the German customers were cus- tomers of Blinder GmbH.17 Applicants contend that the NASD's markup policy , therefore , does not apply to the transactions at issue ...
Page 282
... customers substantial returns on their purchases of various speculative stocks . They , too , telephoned their customers repeatedly , and like Engelman , sought to win investors ' confidence in their predictions of sensational profits ...
... customers substantial returns on their purchases of various speculative stocks . They , too , telephoned their customers repeatedly , and like Engelman , sought to win investors ' confidence in their predictions of sensational profits ...
Page 631
... customers . Over a ten month period , the accounts of the two customers had annualized portfolio turnover ratios of 7 : 1 and 3.5 : 1 , and generated sales commissions amounting to 25 % and 10.5 % of the value of the customers ...
... customers . Over a ten month period , the accounts of the two customers had annualized portfolio turnover ratios of 7 : 1 and 3.5 : 1 , and generated sales commissions amounting to 25 % and 10.5 % of the value of the customers ...
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