774 results for "September 23 2019"
Page 19 of 31
EFTA00067669.pdf
SDNY News Clips, Tuesday, June 25, 2019
SDNY News Clips
Tuesday, June 25, 2019
Contents
Civil
2
NYCHA
2
Complex Frauds and Cybercrime
10
Pierce
10
Kromah
12
White Plains
14
Parmar
14
Henning
20
Securities and Commodities Fraud
23
Ceglia
23
Public Corruption
26
Calk
26
Epstein
28
Matters...
EFTA00090355.pdf
...Saturday, September 12, 2020 8:23 AM
<
Subject: Fw: Formal appeal for preliminary denial covered action 2015-016/ Knight Capital TCR & Appendix
Judges Cave and Jones,
The SEC corruption goes well beyond just Handler/Jefferies/NITE.
My research: I developed a template. I would search NITE top traded OTCM shells...
EFTA00064917.pdf
...September 25, 2019
Original Response Date:
Nov 25.2019 2:00 pm
Original Archive Date:
March 31. 2021
Original Set Aside:
N/A
Set Aside:
N/A
Classification Code:
G -- Social services
Original Posted Date:
August 7, 2019
Response Date:
Nov 25.2019 2:00 pm Eastern
Archiving Policy:
Automatic...
EFTA00094035.pdf
...September 25, 2019
Original Response Date:
Nov 25.2019 2:00 pm
Original Archive Date:
March 31. 2021
Original Set Aside:
N/A
Set Aside:
N/A
Classification Code:
G -- Social services
Original Posted Date:
August 7, 2019
Response Date:
Nov 25.2019 2:00 pm Eastern
Archiving Policy:
Automatic...
EFTA00100180.pdf
...September 25, 2019
Original Response Date:
Nov 25.2019 2:00 pm
Original Archive Date:
March 31. 2021
Original Set Aside:
N/A
Set Aside:
N/A
Classification Code:
G -- Social services
Original Posted Date:
August 7, 2019
Response Date:
Nov 25.2019 2:00 pm Eastern
Archiving Policy:
Automatic...
EFTA00071140.pdf
...OCIE FINRA and Securities Industry Oversight (FSIO) group
Report from FINRA Board of Governors Meeting — September 2019 1 FINRA.org
Report from FINRA Board of Governors Meeting - September 2019 I
FINRA.org
WASHINGTON - FINRA's Board of Governors met on Sept. 24-26 at FIN RA's offices in New...
EFTA00069970.pdf
...Saturday, September 12, 2020 8:23 AM
<
Subject: Fw: Formal appeal for preliminary denial covered action 2015-016/ Knight Capital TCR & Appendix
Judges Cave and Jones,
The SEC corruption goes well beyond just Handler/Jefferies/NITE.
My research: I developed a template. I would search NITE top traded OTCM shells...
EFTA00040288.pdf
...Wednesday, September 23, 2020 7:18 PM
Subject: Fw: Formal appeal for denial covered action 2015-016/ Knight Capital TCR & Appendix
Judges Cave and Nathan,
If there was ANY question as to the veracity of my extremely serious allegations, the SEC put it to rest today
with its "clarification" and...
EFTA00070202.pdf
...OCIE FINRA and Securities Industry Oversight (FSIO) group
Report from FINRA Board of Governors Meeting — September 2019 I FINRA.org
Report from FINRA Board of Governors Meeting - September 2019
FINRA.org
EFTA00070251
WASHINGTON - FINRA's Board of Governors met on Sept. 24-26 at FIN RA's offices in New...
EFTA00094263.pdf
...https://www.sec.gov/litigation/litreleases/2019/Ir24403.htm
Joshua Sason, et al. (Release No. LR-24403; Feb. 15, 2019)
Washington, D.C., February 15, 2019 - The Securities and Exchange Commission today announced charges
against four individuals and related businesses for their roles in two microcap frauds and unlawful
securities...
EFTA00070998.pdf
...OCIE FINRA and Securities Industry Oversight (FSIO) group
Report from FINRA Board of Governors Meeting — September 2019 1 FINRA.org
Report from FINRA Board of Governors Meeting - September 2019 I
FINRA.org
WASHINGTON - FINRA's Board of Governors met on Sept. 24-26 at FIN RA's offices in New...
EFTA00069571.pdf
...OCIE FINRA and Securities Industry Oversight (FSIO) group
Report from FINRA Board of Governors Meeting — September 2019 1 FINRA.org
Report from FINRA Board of Governors Meeting - September 2019 I
FINRA.org
WASHINGTON - FINRA's Board of Governors met on Sept. 24-26 at FIN RA's offices in New...
EFTA00072751.pdf
...Until September
2002, the company was known as WesPac Technologies, at which time it changed its name to Strata. 2.
Tecco is the sole officer, director, and ...
www.sec.gov
https://www.sec.govinews/press-release/2019-16
SEC.gov I SEC Charges Broker-Dealer and Transfer Agent in Microcap...
EFTA00062649.pdf
...So August - you
20 said September you got your 11 so I'm assuming
21 in August of 2019 you were
22
MR.
: I was a 9 then.
23
MR.
: -- a 9 lieutenant.
24
MR.
: Yeah. In August yeah.
25
MR.
: And this is just for my
EFTA00062661
14
1...
EFTA00096503.pdf
...Friday, April 23, 2021 10:30 AM
To: Christian Everdell
(USANYS)
Cc: Jeff Pagliuca ic
(
Subject: RE: Discovery Issues
Chris,
Following up on these issues:
iS
•<
>
; Laura Menninger •
Bobbi Sternheim
• For #3, the attachments were not recovered from the searched devices. We do not have them, which is why they...
EFTA00102264.pdf
...Saturday, September 12, 2020 8:23 AM
To:
<
>;
c
l>;
c
>;
c
>;
Subject: Fw: Formal appeal for preliminary denial covered action 2015-016/ Knight Capital TCR & Appendix
Judges Cave and Jones,
The SEC corruption goes well beyond just Handler/Jefferies/NITE.
My research: I developed a template. I would search...
EFTA00145643.pdf
Case 1:22-cv-10019-JSR Document 256 Filed 11/02/23 Page 1 of 23
UNITED STATES DISTRICT COURT
SOUTHERN DISTRICT OF NEW YORK
Jane Doe 1, individually and on behalf of
all others similarly situated,
Plaintiff,
v.
JPMorgan Chase Bank, N.A.,
Defendant.
Case No. 1:22-CV...
EFTA00074336.pdf
...Friday, December 20, 2019 10:55 AM
To:
4t
>
) 4t
Cc: Lankier, Andrew
Subject: David Rodgers Subpoena
We attach flight logs for David Rodgers, dated between January 23, 2006 and September 19, 2013. We understand
that these records will be kept confidential, pursuant to Fed. R. Crim...
EFTA00078676.pdf
...Department of Justice to
compensate victims who became sick or died as a result of their September Ilth-related
1
EFTA00078676
exposures. I worked for the 9/11 Fund for over ten years before leaving in November 2019 to
serve as Co-Designer and Administrator of the EVCP.
4.
Compensation...
EFTA00080676.pdf
...OCIE FINRA and Securities Industry Oversight (FSIO) group
Report from FINRA Board of Governors Meeting — September 2019 i FINRA.org
Report from FINRA Board of Governors Meeting - September 2019 I
FINRA.org
WASHINGTON - FINRA's Board of Governors met on Sept. 24-26 at FIN RA's offices in New...
EFTA00072134.pdf
...OCIE FINRA and Securities Industry Oversight (FSIO) group
Report from FINRA Board of Governors Meeting — September 2019 1 FINRA.org
Report from FINRA Board of Governors Meeting - September 2019 I
FINRA.org
WASHINGTON - FINRA's Board of Governors met on Sept. 24-26 at FIN RA's offices in New...
EFTA00091035.pdf
...Wednesday, September 23, 2020 7:18 PM
‹
>
Subject: Fw: Formal appeal for denial covered action 2015-016/ Knight Capital TCR & Appendix
Judges Cave and Nathan,
If there was ANY question as to the veracity of my extremely serious allegations, the SEC put it to rest today
with its "clarification" and...
EFTA00079641.pdf
...Wednesday, September 23, 2020 7:18 PM
Subject: Fw: Formal appeal for denial covered action 2015-016/ Knight Capital TCR & Appendix
Judges Cave and Nathan,
If there was ANY question as to the veracity of my extremely serious allegations, the SEC put it to rest today
with its "clarification" and...
EFTA00067702.pdf
...Saturday, September 12, 2020 8:23 AM
EFTA00067721
Subject: Fw: Formal appeal for preliminary denial covered action 2015-016/ Knight Capital TCR & Appendix
Judges Cave and Jones,
The SEC corruption goes well beyond just Handler/Jefferies/NITE.
My research: I developed a template. I would search NITE top traded OTCM...
EFTA00113482.pdf
...2019-010614
DEPARTMENT OF JUSTICE
OFFICE OF THE INSPECTOR GENERAL
SEPTEMBER 22, 2021
RESOLUTE DOCUMENTATION SERVICES
EFTA00113482
2
APPEARANCES:
OFFICE OF THE INSPECTOR GENERAL
BY:
BY:
WITNESS:
MARK EPSTEIN
OTHER APPEARANCES:
STACEY RICHMAN
EFTA00113483
3
1
: The recorder has started.
2
: This is Special Agent
3
with the Department of...
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