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
Results 1-3 of 75
Page 414
... testified that he had no recollection of ever speak- ing with Fleming regarding DBI . The customer had requested that his account be transferred to another firm , and instead , he subsequently received a confirmation from Gant that his ...
... testified that he had no recollection of ever speak- ing with Fleming regarding DBI . The customer had requested that his account be transferred to another firm , and instead , he subsequently received a confirmation from Gant that his ...
Page 514
... testified that this stock ( unlike other securities that might be in the account ) was not to be sold , and Butzen agreed not to sell it because it was a good stock . On June 24 , 1992 , Butzen sold the 90 shares of Wal - Mart in ...
... testified that this stock ( unlike other securities that might be in the account ) was not to be sold , and Butzen agreed not to sell it because it was a good stock . On June 24 , 1992 , Butzen sold the 90 shares of Wal - Mart in ...
Page 733
... testified that he was unaware of Kautz's practice of crediting representatives for his sales and then requesting an 85 percent reimbursement from the repre- sentative . Keller stated that when the Firm discovered this practice , Kautz ...
... testified that he was unaware of Kautz's practice of crediting representatives for his sales and then requesting an 85 percent reimbursement from the repre- sentative . Keller stated that when the Firm discovered this practice , Kautz ...
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