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 90
... letter to the same address dated September 6 , requesting that he provide that infor- mation by September 20. This letter was returned to the NASD marked " unclaimed . " The NASD again asked Hassanieh , by a third letter dated September ...
... letter to the same address dated September 6 , requesting that he provide that infor- mation by September 20. This letter was returned to the NASD marked " unclaimed . " The NASD again asked Hassanieh , by a third letter dated September ...
Page 132
... letter until August 1988. Druz also should have sought an activity letter from Murphy beginning in October 1988 , but he never did so.6 At roughly the same time , the Ferro , Murphy , and Patel accounts began to exhibit a suspicious ...
... letter until August 1988. Druz also should have sought an activity letter from Murphy beginning in October 1988 , but he never did so.6 At roughly the same time , the Ferro , Murphy , and Patel accounts began to exhibit a suspicious ...
Page 515
... letter dated May 3 , 1993 ( the " May 3 letter " ) , the NASD asked Butzen for certain information in connection with its investigation of his activities while he was associated with Franklin - Lord , and advised him that his response ...
... letter dated May 3 , 1993 ( the " May 3 letter " ) , the NASD asked Butzen for certain information in connection with its investigation of his activities while he was associated with Franklin - Lord , and advised him that his response ...
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