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 99
... evidence it possessed to determine the prevailing market price in the transactions at issue . We do not believe it is appropriate to dictate the type of evidence the NASD must use in a particular proceeding . Moreover , on the record ...
... evidence it possessed to determine the prevailing market price in the transactions at issue . We do not believe it is appropriate to dictate the type of evidence the NASD must use in a particular proceeding . Moreover , on the record ...
Page 411
... evidence . " 4 Shipley questions the credibility and sufficiency of the evidence presented against him . He also asserts that , in contrast to the evidence against him , evidence on his behalf was more reliable and probative , because ...
... evidence . " 4 Shipley questions the credibility and sufficiency of the evidence presented against him . He also asserts that , in contrast to the evidence against him , evidence on his behalf was more reliable and probative , because ...
Page 787
... evidence and find that the Division has demonstrated its case by a preponderance of the evidence . Although some of the law judge's comments during the hearing might be described as injudicious , we do not believe Meadows was prejudiced ...
... evidence and find that the Division has demonstrated its case by a preponderance of the evidence . Although some of the law judge's comments during the hearing might be described as injudicious , we do not believe Meadows was prejudiced ...
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