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 133
... engaged in unauthorized trading in Murphy's account from April through December 1988. On January 11 and January 18 , Patel made similar accusations against Vaughan , and withdrew all trading authority over his account.11 In March 1989 ...
... engaged in unauthorized trading in Murphy's account from April through December 1988. On January 11 and January 18 , Patel made similar accusations against Vaughan , and withdrew all trading authority over his account.11 In March 1989 ...
Page 390
... engaged in " at least nine " transactions in June - July 1990 , before being registered with the NASD , and three additional transactions prior to Gates ' August 7 , 1990 registration with the State of West Virginia . The National ...
... engaged in " at least nine " transactions in June - July 1990 , before being registered with the NASD , and three additional transactions prior to Gates ' August 7 , 1990 registration with the State of West Virginia . The National ...
Page 1194
... engaged in improper professional conduct if the auditor acted in good faith . In Logan , an auditor improperly certified that he was independent , although eight percent of his and his family's net worth was invested in the client's ...
... engaged in improper professional conduct if the auditor acted in good faith . In Logan , an auditor improperly certified that he was independent , although eight percent of his and his family's net worth was invested in the client's ...
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