SEC Enforcement Issues: An Advanced SeminarPractising Law Institute, 1982 - 568 sider |
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Side 72
... accounts having an annual commission rate less than 23 % . We agree with the law judge that Graham's trading for the accounts in question was clearly excessive . " We accordingly find that Graham willfully violated Section 17 ( a ) of ...
... accounts having an annual commission rate less than 23 % . We agree with the law judge that Graham's trading for the accounts in question was clearly excessive . " We accordingly find that Graham willfully violated Section 17 ( a ) of ...
Side 74
... accounts , apparently due to losses . Geller immediately requested of Hyman that the firm's Compliance , Margin and Option Depart- ments " proceed in due haste " to update him completely as to all the existing problems and all questions ...
... accounts , apparently due to losses . Geller immediately requested of Hyman that the firm's Compliance , Margin and Option Depart- ments " proceed in due haste " to update him completely as to all the existing problems and all questions ...
Side 90
... accounts are managed by in- vestment advisers . The investigation on which this Report is based was not an ... accounts for individual clients at Merrill Lynch . Merrill Lynch was not involved in the clients ' decisions to retain the Ad ...
... accounts are managed by in- vestment advisers . The investigation on which this Report is based was not an ... accounts for individual clients at Merrill Lynch . Merrill Lynch was not involved in the clients ' decisions to retain the Ad ...
Innhold
Responsibilities of Lawyers in Connection with | 21 |
Recent SEC Pronouncements Concerning a Broker | 33 |
Lauzon Inc Securities Exchange | 35 |
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2d Cir accounts Act and Rule administrative proceedings admitting or denying agency amendment antifraud associated broker broker-dealer cert Chiarella Civil Action client collateral estoppel Commission's Complaint alleges common stock compliance conduct confidential consented Corp corporate counsel criminal defendants denying the allegations directors disclosure disgorgement District Court employees enforcement enjoining federal securities laws filed Final Judgment firm fraud grand jury inside information insider trading investigation investors issue issuer Judgments of Permanent lawyer liability litigation material non-public information ment Merrill Lynch misappropriation officers options Parklane Hosiery Parklane Hosiery Co party Permanent Injunction person plaintiff possession of material procedures profits provisions proxy purchase pursuant Rule 2(e Schedule 13D scienter SEC's Second Circuit Section 10(b Securities Act Securities Exchange Act shareholders shares statements supervision Supp supra note tender offer Tennenbaum thereunder tion tippee transactions Transfer Binder United States Attorney work-product doctrine