990 results for "APRIL 22 2013"
Page 24 of 40
EFTA00071827.pdf
...158, 179-180.6 On
September 22, 2011, FINRA staff served a request on Keener, pursuant to FINRA
www.finra.org
FINRA barred Keener/JMJ in 2013 as a "Bad Actor"
The SEC was certainly aware of the FINRA action
https://www.sec.gov/litigation/opinions/2012/34-68014.pdf...
EFTA02306809.pdf
...Saturday, April 28, 2018 3:43 AM
To:
bkleinS75
Cc:
Rosie; dlbwallace; karynashuliak; richardkahnl2
Subject:
Re: Re: ISF FORM
Hi, Dear Bella
The 61=1 of Lading number is GZMIA1840369
=/div>
And the shipping company still not send me the original . He wil= not send it to me until start...
EFTA00069011.pdf
...158, 179-180.6 On
September 22, 2011, FINRA staff served a request on Keener, pursuant to FINRA
www.finra.org
FINRA barred Keener/JMJ in 2013 as a "Bad Actor"
The SEC was certainly aware of the FINRA action
hups://www.sec.gov/litigation/opinions/2012/34-68014.pdf...
EFTA00064615.pdf
...158, 179-180.6 On
September 22, 2011, FINRA staff served a request on Keener, pursuant to FINRA
www.finra.org
FINRA barred Keener/JMJ in 2013 as a "Bad Actor"
The SEC was certainly aware of the FINRA action
https://www.sec.gov/litigation/opinions/2012/34-68014.pdf...
EFTA00083403.pdf
...158, 179-180.6 On
September 22, 2011, FINRA staff served a request on Keener, pursuant to FINRA
www.finra.org
FINRA barred Keener/JMJ in 2013 as a "Bad Actor"
The SEC was certainly aware of the FINRA action
https://www.sec.gov/litigation/opinions/2012/34-68014.pdf...
EFTA00096058.pdf
...Thursday, April 22, 2021 5:57 AM
To:
Subject: Fw: Formal appeal for denial covered action 2015-016/ Knight Capital TCR & Appendix
so sorry for incorrect e mail
From: Chris Dilorio <
Sent: Thursday, April 22, 2021 5:44 AM
>
Subject: Fw: Formal appeal for denial covered action 2015-016/ Knight...
EFTA00070950.pdf
...158, 179-180.6 On
September 22, 2011, FINRA staff served a request on Keener, pursuant to FINRA
www.finra.org
FINRA barred Keener/JMJ in 2013 as a "Bad Actor"
The SEC was certainly aware of the FINRA action
https://www.sec.gov/litigation/opinions/2012/34-68014.pdf...
EFTA00070691.pdf
...158, 179-180.6 On
September 22, 2011, FINRA staff served a request on Keener, pursuant to FINRA
EFTA00070698
www.finra.org
FINRA barred Keener/JMJ in 2013 as a "Bad Actor"
The SEC was certainly aware of the FINRA action
https://www.sec.gov/litigation/opinions/2012/34-68014...
EFTA00092123.pdf
...158, 179-180.6 On
September 22, 2011, FINRA staff served a request on Keener, pursuant to FINRA
www.finra.org
FINRA barred Keener/JMJ in 2013 as a "Bad Actor"
The SEC was certainly aware of the FINRA action
https://www.sec.gov/litigation/opinions/2012/34-68014.pdf...
EFTA00083075.pdf
...Thursday, April 22, 2021 5:57 AM
To:
Subject: Fw: Formal appeal for denial covered action 2015-016/ Knight Capital TCR & Appendix
EFTA00083078
so sorry for incorrect e mail
From: Chris Dilorio
Sent: Thursday, April 22, 2021 5:44 AM
Subject: Fw: Formal appeal for denial covered action 2015-016...
EFTA00161836.pdf
...14, 2013), https://www.occ.treas.govinews-
issuances/news-releases/2013/nr-occ-2013-8a.pdf.
19
EFTA00161854
Case 1:22-cv-10904-JSR Document 16 Filed 01/10/23 Page 20 of 34
Deutsche Bank from 2013 to 2018.
80.
The New York State Department of Financial Services ("NYSDFS...
EFTA00065781.pdf
...10,000 to
Terramar UK.
22. We have identified one donation outside of the time period of this report from
Epstein Interests Foundation of US$57,000 which was recorded as a donation to
Terramar Project Inc in the financial year ending 1/21/2013.6 All funds received by...
EFTA00154557.pdf
...10,000 to
Terramar UK.
22. We have identified one donation outside of the time period of this report from
Epstein Interests Foundation of US$57,000 which was recorded as a donation to
Terramar Project Inc in the financial year ending 1/21/2013.6 All funds received by...
EFTA00541479.pdf
...Thursday, April 19, 2018 8:06 AM
To: outdoorlDrhpte.com; Karyna Shuliak ; Rich Kahn a;
Rosie
Subject: Re: ISF FORM
Greetings Andy,
Thank you for the update. We will await the ISF 10 FORM on next Monday, 23rd April 2018 when you have the booking
information...
EFTA00069970.pdf
...158, 179-180.6 On
September 22, 2011, FINRA staff served a request on Keener, pursuant to FINRA
EFTA00070002
www.finra.org
FINRA barred Keener/JMJ in 2013 as a "Bad Actor"
The SEC was certainly aware of the FINRA action
https://www.sec.gov/litigation/opinions/2012/34-68014...
EFTA00071433.pdf
...158, 179-180.6 On
September 22, 2011, FINRA staff served a request on Keener, pursuant to FINRA
EFTA00071455
www.finra.org
FINRA barred Keener/JMJ in 2013 as a "Bad Actor"
The SEC was certainly aware of the FINRA action
https://www.sec.gov/litigation/opinions/2012/34-68014...
EFTA00071487.pdf
...158, 179-180.6 On
September 22, 2011, FINRA staff served a request on Keener, pursuant to FINRA
www.finra.org
FINRA barred Keener/JMJ in 2013 as a "Bad Actor"
The SEC was certainly aware of the FINRA action
https://www.sec.gov/litigation/opinions/2012/34-68014.pdf...
EFTA00066454.pdf
...158, 179-180.6 On
September 22, 2011, FINRA staff served a request on Keener, pursuant to FINRA
www.finra.org
FINRA barred Keener/JMJ in 2013 as a "Bad Actor"
The SEC was certainly aware of the FINRA action
https://www.sec.gov/litigation/opinions/2012/34-68014.pdf...
EFTA00236788.pdf
...This brochure is current as of September 20, 2013 and is subject to change.
ML281837-MAXWELL
Page I of 4
CONFIDENTIAL
UBSTERRAMAR00001132
EFTA00236788
Disclosure Statement under Rule 506(d)
1)85 Fund Advisor LLC (Member Designee, Managing Member, Administrator)
1.
Date of Action: Jan. 9, 2009
Brought By: CFTC
Allegations...
EFTA00064843.pdf
...158, 179-180.6 On
September 22, 2011, FINRA staff served a request on Keener, pursuant to FINRA
www.finra.org
FINRA barred Keener/JMJ in 2013 as a "Bad Actor"
The SEC was certainly aware of the FINRA action
hups://www.sec.gov/litigation/opinions/2012/34-68014.pdf...
EFTA00039828.pdf
...158, 179-180.6 On
September 22, 2011, FINRA staff served a request on Keener, pursuant to FINRA
www.finra.org
FINRA barred Keener/JMJ in 2013 as a "Bad Actor"
The SEC was certainly aware of the FINRA action
hups://www.sec.gov/litigation/opinions/2012/34-68014.pdf...
EFTA00083356.pdf
...158, 179-180.6 On
September 22, 2011, FINRA staff served a request on Keener, pursuant to FINRA
EFTA00083374
www.finra.org
FINRA barred Keener/JMJ in 2013 as a "Bad Actor"
The SEC was certainly aware of the FINRA action
https://www.sec.gov/litigation/opinions/2012/34-68014...
EFTA00065268.pdf
...158, 179-180.6 On
September 22, 2011, FINRA staff served a request on Keener, pursuant to FINRA
www.finra.org
FINRA barred Keener/JMJ in 2013 as a "Bad Actor"
The SEC was certainly aware of the FINRA action
https://www.sec.gov/litigation/opinions/2012/34-68014.pdf...
EFTA00072287.pdf
...158, 179-180.6 On
September 22, 2011, FINRA staff served a request on Keener, pursuant to FINRA
www.finra.org
FINRA barred Keener/JMJ in 2013 as a "Bad Actor"
The SEC was certainly aware of the FINRA action
https://www.sec.gov/litigation/opinions/2012/34-68014.pdf...
EFTA00597681.pdf
...The carrying value of BFP's
interest in KUE was estimated to be $22.6 million.
In October 2013, BFP
received a $1.4 million cash distribution and $0.8 million stock distribution (105,951
shares of LRN from KUE and 75 shares from KU Management). In addition, BFP
received...
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