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 437
... responsible , " Jones took over responsibility for the firm's back office and agreed to qualify as FINOP . However , as noted , he did not do so until June 1991. Akers was relegated to " the marketing effort on the sales side of AJS ...
... responsible , " Jones took over responsibility for the firm's back office and agreed to qualify as FINOP . However , as noted , he did not do so until June 1991. Akers was relegated to " the marketing effort on the sales side of AJS ...
Page 476
... responsible for the Firm's violations . Each instead attempts to deflect responsibility to others . A. Venezia contends that he did not establish the prices charged by Gant for Boca and Magnetech . He asserts that he reasonably relied ...
... responsible for the Firm's violations . Each instead attempts to deflect responsibility to others . A. Venezia contends that he did not establish the prices charged by Gant for Boca and Magnetech . He asserts that he reasonably relied ...
Page 991
... responsible for determining and monitoring the markups charged customers . The retail branch personnel maintained that the responsibility for monitoring the markups rested with the retail trading desk , while the retail trading desk ...
... responsible for determining and monitoring the markups charged customers . The retail branch personnel maintained that the responsibility for monitoring the markups rested with the retail trading desk , while the retail trading desk ...
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