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 298
... invested in " fully - hedged arbitrage , " when in fact they had not been so invested . Moreover , in order to convince certain investors of the legitimacy of their AVS investments , Stein provided these investors with copies of forged ...
... invested in " fully - hedged arbitrage , " when in fact they had not been so invested . Moreover , in order to convince certain investors of the legitimacy of their AVS investments , Stein provided these investors with copies of forged ...
Page 360
... investors certain restaurant equipment . Investors were provided with a list of equipment from which they could choose the specific items they wanted to purchase ( including such items as convection ovens , walk - in refrigera- tors and ...
... investors certain restaurant equipment . Investors were provided with a list of equipment from which they could choose the specific items they wanted to purchase ( including such items as convection ovens , walk - in refrigera- tors and ...
Page 623
... investor's capital . Cash distributions were derived not only from interest on the underlying mortgages , but also payments made to retire principal . Some investors were not told that part of their " income " included a return of ...
... investor's capital . Cash distributions were derived not only from interest on the underlying mortgages , but also payments made to retire principal . Some investors were not told that part of their " income " included a return of ...
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