495 results for "Sep 26 2013"

Page 17 of 20
EFTA00083075.pdf
OCR Confidence: 85%  •  5138.0 KB
...Further, I submitted my amended TCR with Berger in March 2013, In August of 2013, FINRA brought a penny stock AML complaint against OpCo. Sale of unregistered penny stocks. WHO ultimately executed the trades? 2008-2010. In July 2013, the "glitch" financing Gen Atlantic/Getco reverse merger with Knight to...
EFTA00070613.pdf
OCR Confidence: 85%  •  4143.5 KB
...was at the BD SRO FINRA FROM 2013 until joining his former FINRA colleague Dick "BBH" Best at SEC NY. Not the Case. See, Mikey Rufino was at the BD SRO FINRA for 32 f'n years prior to "retiring" in Sep 2020 FINRA Executive Vice President Michael Rufino Announces...
EFTA00094212.pdf
OCR Confidence: 85%  •  3884.6 KB
...Wed, 16 Sep 2020 12:25:26 +0000 Attachments: KCG_Appendix_3-20_13_penultimate.docx; KCG_TCR_3-20-13-penultimate_draft.pdf; KCG_TCR_3-20-13-penultimate_draft.docx; KCG_Appendix_3-20_13_penultimate.pdf Janey, Schwarzman must be pretty close to the top of the...
EFTA00064843.pdf
OCR Confidence: 85%  •  4874.6 KB
...Further, I submitted my amended TCR with Berger in March 2013, In August of 2013, FINRA brought a penny stock AML complaint against OpCo. Sale of unregistered penny stocks. WHO ultimately executed the trades? 2008-2010. In July 2013, the "glitch" financing Gen Atlantic/Getco reverse merger with Knight to...
EFTA00065405.pdf
OCR Confidence: 85%  •  5312.8 KB
...Further, I submitted my amended TCR with Berger in March 2013, In August of 2013, FINRA brought a penny stock AML complaint against OpCo. Sale of unregistered penny stocks. WHO ultimately executed the trades? 2008-2010. In July 2013, the "glitch" financing Gen Atlantic/Getco reverse merger with Knight to...
EFTA00040401.pdf
OCR Confidence: 85%  •  4216.9 KB
...was at the BD SRO FINRA FROM 2013 until joining his former FINRA colleague Dick "BBH" Best at SEC NY. Not the Case. See, Mikey Rufino was at the BD SRO FINRA for 32 f'n years prior to "retiring" in Sep 2020 FINRA Executive Vice President Michael Rufino Announces...
EFTA00096058.pdf
OCR Confidence: 85%  •  5329.7 KB
...Further, I submitted my amended TCR with Berger in March 2013, In August of 2013, FINRA brought a penny stock AML complaint against OpCo. Sale of unregistered penny stocks. WHO ultimately executed the trades? 2008-2010. In July 2013, the "glitch" financing Gen Atlantic/Getco reverse merger with Knight to...
EFTA00040288.pdf
OCR Confidence: 85%  •  4120.0 KB
...Further, I submitted my amended TCR with Berger in March 2013, In August of 2013, FINRA brought a penny stock AML complaint against OpCo. Sale of unregistered penny stocks. WHO ultimately executed the trades? 2008-2010. In July 2013, the "glitch" financing Gen Atlantic/Getco reverse merger with Knight to...
EFTA00102264.pdf
OCR Confidence: 85%  •  4473.4 KB
...was at the BD SRO FINRA FROM 2013 until joining his former FINRA colleague Dick "BBH" Best at SEC NY. Not the Case. See, Mikey Rufino was at the BD SRO FINRA for 32 f'n years prior to "retiring" in Sep 2020 FINRA Executive Vice President Michael Rufino Announces...
EFTA00094440.pdf
OCR Confidence: 85%  •  5602.4 KB
...Further, I submitted my amended TCR with Berger in March 2013, In August of 2013, FINRA brought a penny stock AML complaint against OpCo. Sale of unregistered penny stocks. WHO ultimately executed the trades? 2008-2010. In July 2013, the "glitch" financing Gen Atlantic/Getco reverse merger with Knight to...
EFTA00067870.pdf
OCR Confidence: 85%  •  4631.0 KB
...Further, I submitted my amended TCR with Berger in March 2013, In August of 2013, FINRA brought a penny stock AML complaint against OpCo. Sale of unregistered penny stocks. WHO ultimately executed the trades? 2008-2010. In July 2013, the "glitch" financing Gen Atlantic/Getco reverse merger with Knight to...
EFTA00086291.pdf
OCR Confidence: 85%  •  4423.1 KB
...was at the BD SRO FINRA FROM 2013 until joining his former FINRA colleague Dick "BBH" Best at SEC NY. Not the Case. See, Mikey Rufino was at the BD SRO FINRA for 32 f'n years prior to "retiring" in Sep 2020 FINRA Executive Vice President Michael Rufino Announces...
EFTA00071898.pdf
OCR Confidence: 85%  •  4747.9 KB
...Further, I submitted my amended TCR with Berger in March 2013, In August of 2013, FINRA brought a penny stock AML complaint against OpCo. Sale of unregistered penny stocks. WHO ultimately executed the trades? 2008-2010. In July 2013, the "glitch" financing Gen Atlantic/Getco reverse merger with Knight to...
EFTA00065268.pdf
OCR Confidence: 85%  •  4731.6 KB
...Further, I submitted my amended TCR with Berger in March 2013, In August of 2013, FINRA brought a penny stock AML complaint against OpCo. Sale of unregistered penny stocks. WHO ultimately executed the trades? 2008-2010. In July 2013, the "glitch" financing Gen Atlantic/Getco reverse merger with Knight to...
EFTA00069339.pdf
OCR Confidence: 85%  •  5804.1 KB
...Further, I submitted my amended TCR with Berger in March 2013, In August of 2013, FINRA brought a penny stock AML complaint against OpCo. Sale of unregistered penny stocks. WHO ultimately executed the trades? 2008-2010. In July 2013, the "glitch" financing Gen Atlantic/Getco reverse merger with Knight to...
EFTA00269211.pdf
OCR Confidence: 85%  •  4410.7 KB
...11-Sep-21 Dear Austin Macauley, New York, l w... veonv..ausbownac_ AM Royalties Re: Enquiry Royalties oi-sep-21 Dear Amanda, Thank you very much... AM Production UK Re: Change of details 06-Sep-21 Dear Oliver, Thank you for the reply ... AM Royalties Re: Enquiry Royalties 06-Seta...
EFTA00092123.pdf
OCR Confidence: 85%  •  3850.5 KB
...Further, I submitted my amended TCR with Berger in March 2013, In August of 2013, FINRA brought a penny stock AML complaint against OpCo. Sale of unregistered penny stocks. WHO ultimately executed the trades? 2008-2010. In July 2013, the "glitch" financing Gen Atlantic/Getco reverse merger with Knight to...
EFTA00069181.pdf
OCR Confidence: 85%  •  4811.1 KB
...was at the BD SRO FINRA FROM 2013 until joining his former FINRA colleague Dick "BBH" Best at SEC NY. Not the Case. See, Mikey Rufino was at the BD SRO FINRA for 32 f'n years prior to "retiring" in Sep 2020 FINRA Executive Vice President Michael Rufino Announces...
EFTA00079641.pdf
OCR Confidence: 85%  •  4328.0 KB
...Further, I submitted my amended TCR with Berger in March 2013, In August of 2013, FINRA brought a penny stock AML complaint against OpCo. Sale of unregistered penny stocks. WHO ultimately executed the trades? 2008-2010. In July 2013, the "glitch" financing Gen Atlantic/Getco reverse merger with Knight to...
EFTA00096577.pdf
OCR Confidence: 85%  •  3949.6 KB
...Further, I submitted my amended TCR with Berger in March 2013, In August of 2013, FINRA brought a penny stock AML complaint against OpCo. Sale of unregistered penny stocks. WHO ultimately executed the trades? 2008-2010. In July 2013, the "glitch" financing Gen Atlantic/Getco reverse merger with Knight to...
EFTA00070722.pdf
OCR Confidence: 85%  •  6763.0 KB
...EFTA00070801 Further, I submitted my amended TCR with Berger in March 2013, In August of 2013, FINRA brought a penny stock AML complaint against OpCo. Sale of unregistered penny stocks. WHO ultimately executed the trades? 2008-2010. In July 2013, the "glitch" financing Gen Atlantic/Getco reverse merger with Knight...
EFTA00095591.pdf
OCR Confidence: 85%  •  4525.4 KB
...Further, I submitted my amended TCR with Berger in March 2013, In August of 2013, FINRA brought a penny stock AML complaint against OpCo. Sale of unregistered penny stocks. WHO ultimately executed the trades? 2008-2010. In July 2013, the "glitch" financing Gen Atlantic/Getco reverse merger with Knight to...
EFTA00039689.pdf
OCR Confidence: 85%  •  6837.1 KB
...Further, I submitted my amended TCR with Berger in March 2013, In August of 2013, FINRA brought a penny stock AML complaint against OpCo. Sale of unregistered penny stocks. WHO ultimately executed the trades? 2008-2010. In July 2013, the "glitch" financing Gen Atlantic/Getco reverse merger with Knight to...
EFTA00067932.pdf
OCR Confidence: 85%  •  6985.9 KB
...EFTA00068015 Further, I submitted my amended TCR with Berger in March 2013, In August of 2013, FINRA brought a penny stock AML complaint against OpCo. Sale of unregistered penny stocks. WHO ultimately executed the trades? 2008-2010. In July 2013, the "glitch" financing Gen Atlantic/Getco reverse merger with Knight...
EFTA00091035.pdf
OCR Confidence: 85%  •  4292.5 KB
...Further, I submitted my amended TCR with Berger in March 2013, In August of 2013, FINRA brought a penny stock AML complaint against OpCo. Sale of unregistered penny stocks. WHO ultimately executed the trades? 2008-2010. In July 2013, the "glitch" financing Gen Atlantic/Getco reverse merger with Knight to...

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