840 results for "July 21 2014"
Page 28 of 34
EFTA00067932.pdf
...2011026386002 was filed on October 21,
2014, by the
www.finra.org
Orders Accepting Offers of Settlement - Aegis Capital Corp. Charles Smulevitz Kevin McKenna (finra.org)
Complainant, Hearing Officer Rochelle S. Hall Department ofEnforcement,
Disciplinary Proceeding ORDER ACCEPTING OFFER OF OFFICE OF
HEARING OFFICERS INDUSTRY REGULATORY AUTHORITY FINANCIAL
Aegis Capital...
EFTA00133349.pdf
...2007
May 21, 2019
May 21, 2019
436
REG
Jul 9.2007
May 21, 2019
May 21, 2019
436
REG
Jul 9.2007
May 21, 2019
May 21, 2019
436
REG
Jul 9.2007
May 21, 2019
May 21, 2019
436
REG
Jul 9.2007
May 21, 2019
May 21...
EFTA00086291.pdf
...Formal appeal for preliminary denial covered action 2015-016/ Knight Capital TCR &
Appendix
Mon, 18 Jan 2021 19:03:21 +0000
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...
EFTA00678442.pdf
...This latest incident on August 21 was so
egregious it was impossible to continue looking the other way. (And it was
followed, apparently, by another on August 26.) Taking action seemed the
only way to restore a sense that the president was a man who meant what
he said. But...
EFTA00150555.pdf
...Ottawa sources familiar with the matter." The
ban, which was introduced in March, "has been extended several times and is due to expire on
July 21." Although some US politicians in northern states are "pressing for the measures to be
relaxed, the Ottawa sources said the extension was virtually inevitable...
EFTA00090355.pdf
...www.finra.org
In July 2020, Bobby Sollazzo: SEC NY BD OCIE retires after 38 years of obstructing criminal activity of criminal
BD's like NITE.
SEC.gov i Broker-Dealer Exam Program Leader Robert Sollazzo Retiring From SEC After 38 Years
SEC.gov I Broker-Dealer Exam Program Leader...
EFTA00069339.pdf
...For those of you who don't know Dick Best from his FINRA days, this
masterpiece is what got him his job at the SEC Atlanta office
https://www.finra.org/media-center/news-releases/2014/finra-fines-brown-brothers-harriman-record-8-
million-substantial-anti
The BBH AML complaint...
EFTA00268770.pdf
...Adebide SA 5001
ASN 93 799 021 552
Government
of South Australia
EFTA00268772
Part Three
Two pages of typed information titled Police Involvement — Port Pine Region —
Metropolitan Region 2013 -2014 containing the below:
"Christmas 2014 - Stopped on the highway' between Kadina and Port Pirie after
rounding a bend on the...
EFTA00070691.pdf
...SEC/Handler/Jefferies KNEW KCG was insolvent in 2012 AND July 2017
The SEC has known about the Knight/KCG/VIRT accounting fraud and securities fraud for years. I TOLD THEM.
The SEC has engaged in a massive criminal obstruction scheme that is ongoing to protect NITE/VIRT.
EFTA00070691
As...
EFTA00638630.pdf
...In July, Philando Castile was shot and killed in
Falcon Heights, Minnesota. His fiancée, Diamond Reynolds, filmed a graphic video that showed
Castile bleeding to death from gunshot wounds. The officer "shot him three times because we had a
busted taillight," Reynolds says in the clip.
The day before Castile...
EFTA00268579.pdf
...21 December, 2012 - The Hon Mark Butler MP, Minister for Mental Health and Ageing, Minister
for Social Inclusion, Minister Assisting the Prime Minister on Mental Health Reform
New Protection on Costs for People in Aged Care
People who enter aged care homes from 1 July 2014 will benefit from greater...
EFTA00097481.pdf
...2011026386002 was filed on October 21,
2014, by the
www.finra.org
Orders Accepting Offers of Settlement - Aegis Capital Corp.. Charles Smulevitz Kevin McKenna (fmra.org)
Complainant, Hearing Officer Rochelle S. Hall Department ofEnforcement,
Disciplinary Proceeding ORDER ACCEPTING OFFER OF OFFICE OF
HEARING OFFICERS INDUSTRY REGULATORY AUTHORITY FINANCIAL
Aegis Capital...
EFTA00069147.pdf
...EFTA00069149
SEC/Handler/Jefferies KNEW KCG was insolvent in 2012 AND July 2017
The SEC has known about the Knight/KCG/VIRT accounting fraud and securities fraud for years. I TOLD THEM.
The SEC has engaged in a massive criminal obstruction scheme that is ongoing to protect NITE/VIRT.
As...
EFTA00617396.pdf
...The complaint was filed on September 21, 2015 at
which time Plaintiff
was living in Colorado and Defendant Ghislaine Maxwell
was living in New York. Plaintiff
is a United States Citizen. Plaintiff is seeking
damages in excess of $75,000.00.
Defendant's Statement:
Ms. Maxwell agrees with the Plaintiff...
EFTA00094182.pdf
...Tuesday, July 7, 2020 6:09 AM
EFTA00094183
Subject: Fw: Formal appeal for preliminary denial covered action 2015-016/ Knight Capital TCR & Appendix
Janey,
MORE EXTRAORDINARY SEC corruption and criminal obstruction designed to protect criminals and screw
whistleblowers like me. Despite my very generous 4 day offer to produce the...
EFTA00069247.pdf
...2:16-cv-03250
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 Case 2:16-cv-03250 Document
1 Filed 05/12/16 Page 1 of 45 Page ID #:1...
EFTA00078132.pdf
...SEC/Handler/Jefferies KNEW KCG was insolvent in 2012 AND July 2017
The SEC has known about the Knight/KCG/VIRT accounting fraud and securities fraud for years. I TOLD THEM.
The SEC has engaged in a massive criminal obstruction scheme that is ongoing to protect NITE/VIRT.
As a...
EFTA00150469.pdf
...Prosecutors said that seven people have
been charged in connection with criminal conduct during a July 21-22 night protest. Another six
were charged for their alleged actions in protests during the night of July 22-23."
The CBS Evening NewsVi (7/24, story 9, 1:52, O'Donnell, 4...
EFTA00136474.pdf
...NBC News july-disappearance-georgia-woman-
leila-cavett-after-n1236343> (8/10, 6.14M) reports that the FBI has joined the search for Leila Cavett, whose
two-year-old son was found alone on July 26. Cavett's sisters "told NBC affiliate...
EFTA00086579.pdf
...Self dealing? MUCH WORSE
http://innasdaq.comIstatic-files/6b1ca278-75f0-4259-9372-5b3351126a8b
ir.nasdaq.com
121 e <2 h"' 21 e 416 $8;1< 76 =23 $54 -:;2((1 -&22
ir.nasdaq.com
As you can see, current NASDAQ CEO Adena Friedman signed off on this transaction.
SunGard was...
EFTA00069181.pdf
...SEC Acting Head of Enforcement as of 1/22/21
SEC.gov i Melissa Hodgman Named Acting Director of Division of Enforcement
SEC.gov I Melissa Hodgman Named Acting Director of Division of
Enforcement
The Securities and Exchange Commission today announced Melissa R. Hodgman, currently an Associate
Director in the...
EFTA00132208.pdf
...1
Relieving Officers
Ret
Previous Status
Shft
Tuesday July 23, 2019
Page 5
Changed By
12 UNIT 2
Y S1 7/22 1921
Staff
OT/CT Start End
OT
12 SHU 04
7/22 1922
047/22 21:14
7/22 21:14
12 INTERNAL 02
Y t
7122 21...
EFTA00285853.pdf
...HedgeMark, for example, has seen its assets grow from less than $4 billion when it
was acquired by BNY Mellon in 2014 to more than $16 billion today. During roughly
the same period, InfraHedge's assets increased to $35.4 billion, from $15.2 billion.
InfraHedge is a unit of...
EFTA00070529.pdf
...SEC/Handler/Jefferies KNEW KCG was insolvent in 2012 AND July 2017
The SEC has known about the Knight/KCG/VIRT accounting fraud and securities fraud for years. I TOLD THEM.
The SEC has engaged in a massive criminal obstruction scheme that is ongoing to protect NITE/VIRT.
As a...
EFTA00086617.pdf
...Fri, 12 Feb 2021 21:31:38 +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;
Cifu.jpg; Blosteinjpg; KCGMarch2017.jpg
Well,
The Sell side got close...
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