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 198
... denied . We also deny Sprecher's motions for sanctions . Accordingly , IT IS ORDERED that the motion of the Division of Enforcement to Reconsider Order Granting Motion to Dismiss Disgorge- ment Claim be , and it hereby is , denied , and ...
... denied . We also deny Sprecher's motions for sanctions . Accordingly , IT IS ORDERED that the motion of the Division of Enforcement to Reconsider Order Granting Motion to Dismiss Disgorge- ment Claim be , and it hereby is , denied , and ...
Page 560
... denied the motion on April 15th.27 Counsel B then responded with a motion for adjournment of the hear- ing until the week of June 6th.28 In the alternative , Counsel B requested an adjournment of thirty days so that Vittor and Gurian ...
... denied the motion on April 15th.27 Counsel B then responded with a motion for adjournment of the hear- ing until the week of June 6th.28 In the alternative , Counsel B requested an adjournment of thirty days so that Vittor and Gurian ...
Page 977
... denied . This argument is not persuasive . There is no statu- tory or constitutional right to counsel for PSE disciplinary proceedings.9 PSE rules allow respondents to retain counsel for assistance during the disciplinary process . 10 ...
... denied . This argument is not persuasive . There is no statu- tory or constitutional right to counsel for PSE disciplinary proceedings.9 PSE rules allow respondents to retain counsel for assistance during the disciplinary process . 10 ...
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