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 16
... violation based on matters that were not alleged in its complaint . B. We sustained NASD findings that Nelson violated registration pro- visions in connection with substantial distributions of unregistered Superior and Vertex stock ...
... violation based on matters that were not alleged in its complaint . B. We sustained NASD findings that Nelson violated registration pro- visions in connection with substantial distributions of unregistered Superior and Vertex stock ...
Page 152
... violation . " In our view , the term " commits " encompasses any person who violates or is otherwise responsible for a violation of the federal securities laws , regardless of the capacity in which that violator is responsible for the ...
... violation . " In our view , the term " commits " encompasses any person who violates or is otherwise responsible for a violation of the federal securities laws , regardless of the capacity in which that violator is responsible for the ...
Page 337
... violation occurred on March 25 , 1993. The NASD examiner testified that he chose that date to give Palm State the ... violation . Rather , Tuberosa was sanctioned only with respect to the net capital violation in connection with the ...
... violation occurred on March 25 , 1993. The NASD examiner testified that he chose that date to give Palm State the ... violation . Rather , Tuberosa was sanctioned only with respect to the net capital violation in connection with the ...
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