778 results for "October 21 2014"
Page 29 of 32
EFTA00082705.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...
EFTA00597104.pdf
...2015, March 19,
2015, April 14, 2015 (second filing only), April 15, 2015, April 22, 2015, April 28, 2015, May 21,
2015, May 29, 2015, August 17, 2015, October 19, 2015, November 27, 2015, January 14, 2016 (Item
2.02 is expressly incorporated by reference herein) and February 9, 2016...
EFTA00711710.pdf
...On
24 October 2011, they released their fifth studio album, Mylo Xyloto, which received positive reviews,
topped the charts in over 34 countries, and was the UK's best-selling rock album of 2011. On 16 May
2014, they released their sixth album, Ghost Stories, which received mixed to positive...
EFTA00097262.pdf
...From the BD SRO FINRA complaint:
"Between October 2013 and September 2016 the firm (NITE) transmitted 1,569,725,427....":pause to
understand what I just re printed: 1 BILLION 569 MILLION 725 thousand,427 instances. Got it? Continue
"....ROEs to OATS with innaccurate account codes, which provide information about...
EFTA00149845.pdf
...He did so again, officials said, in
October 2019, to ISIS' new leader, Abu Ibrahim al-Hashemi al-Qurayshi, who became the
organization's leader following al-Baghdadi's death. 'Beginning in at least March 2019, Clark
disseminated ISIS propaganda through, among other avenues, encrypted chat rooms intended
for members...
EFTA00067752.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...
EFTA00237405.pdf
...German Bun&
2008
2009
2010
2011
2012
2013
2014
Munich / Frankfurt (Weighted Avg.)
.Gemtan toYR Bund
vi
vii
R3C
Source: Real Capital Analytics, October 2015.
Source: CBRE ERIX Database. October 2015.
CONFIDENTIAL
UBSTERRAMAR00001857
EFTA00237488
Overview of Blackstone Real Estate Partners Europe V
The real estate operating environment remains stable, with...
EFTA00086579.pdf
...Wednesday, October 14, 2020 9:00 AM
EFTA00086581
Subject: Fw: Formal appeal for preliminary denial covered action 2015-016/ Knight Capital TCR & Appendix
The corrupt, criminal relationship with Handler/Jefferies as I have stated is NOT the only corrupt,criminal
relationship the SEC/SDNY have with members of their respective...
EFTA00040288.pdf
...Wednesday, October 14, 2020 10:17 AM
To:
EFTA00040289
Subject: Fw: Formal appeal for denial covered action 2015-016/ Knight Capital TCR & Appendix
Different version/additional information
From: Chris Dilorio
Sent: Wednesday, September 23, 2020 7:18 PM
Subject: Fw: Formal appeal for denial covered action 2015-016/ Knight Capital...
EFTA00067130.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...
EFTA00070722.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...
EFTA00104460.pdf
...From the BD SRO FINRA complaint:
"Between October 2013 and September 2016 the firm (NITE) transmitted 1,569,725,427....":pause to
understand what I just re printed: 1 BILLION 569 MILLION 725 thousand,427 instances. Got it? Continue
"....ROEs to OATS with innaccurate account codes, which provide information about...
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...
EFTA00712371.pdf
...The president's
father, Hafez al Assad, came to power in 1970 after 21 changes of
government -- mostly through coups -- in Syria's first 24 years of
independence. Moreover, the new Syrian state held free and fair elections
in 1947, 1949 and 1954 that all broke down according to tribal...
EFTA00137183.pdf
...Gretchen Whitmer have now had their high bonds
reduced since their arrests in October." Jackson County District Judge Michael Klaeren "reduced the $10 million
bond set for Joseph Morrison, 26, to $150,000 and the $500,000 bond for Paul Bellar, 21, to $75,000 after
hearing arguments at a...
EFTA00086617.pdf
...Fri, 12 Feb 2021 21:31:38 +0000
Attachments: KCG_Appendix_3-20_13_penultimate.docx; KCG_TCR_3-20-13-penultimate_draft.pdf;
KCG_TCR_3-20-13-penultimate_draft.docx; KCG_Appendix_3-20_13_penultimate.pdf;
Cifu.jpg; Blosteinjpg; KCGMarch2017.jpg
Well,
The Sell side got close...
EFTA00132208.pdf
...10-AUG-2019 0 :21
Start Date.
start Time
8/10/19 I Answer Date
0:21:11
Answer Time
8/10/19 I End Date
0:21:15
End Time
8/10/19
0:21:15
Caller Station
Caller circuit
Caller COS
Caller Routing Class
.Caller •Switch ID
• Caller...
EFTA00088144.pdf
...Self dealing? MUCH WORSE
http://innasdaq.comIstatic-files/fiblca278-75f0-4259-9372-5b3351126a8b
ir.nasdaq.com
121 e< 2 h- 21 e< 16$ 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...
EFTA00083150.pdf
...From the BD SRO FINRA complaint:
"Between October 2013 and September 2016 the firm (NITE) transmitted 1,569,725,427....":pause to
understand what I just re printed: 1 BILLION 569 MILLION 725 thousand,427 instances. Got it? Continue
"....ROEs to OATS with innaccurate account codes, which provide information about...
EFTA00079641.pdf
...Wednesday, October 14, 2020 10:17 AM
Subject: Fw: Formal appeal for denial covered action 2015-016/ Knight Capital TCR & Appendix
Different version/additional information
From: Chris Dilorio
Sent: Wednesday, September 23, 2020 7:18 PM
Subject: Fw: Formal appeal for denial covered action 2015-016/ Knight Capital TCR & Appendix...
EFTA00083356.pdf
...Wednesday, October 14, 2020 9:00 AM
EFTA00083362
Subject: Fw: Formal appeal for preliminary denial covered action 2015-016/ Knight Capital TCR & Appendix
The corrupt, criminal relationship with Handler/Jefferies as I have stated is NOT the only corrupt,criminal
relationship the SEC/SDNY have with members of their respective...
EFTA00163736.pdf
...The article detailed that Tourino, along with his
company, Spectra, and others, violated the International Emergency Economic Powers Act (IEEPA) by purchasing
and sending servers to Iran without the required licenses from January 2014 to July 2017. The article explained that
the servers were dual-use commercial goods with military...
EFTA00136693.pdf
...The Milford (DE) Beacon 21/drug-operation-
involving-feds-leads-largest-fentanyl-seizure-delaware-history-5-million-worth-found/5854758002/> (9/21,
18K) reports that a joint FBI-Delaware State Police operation "led to the largest fentanyl seizure in the history...
EFTA00623392.pdf
...bonus and benefits
33.052
21.688
11.364
52.4
21.688
10.919
10.769
98.6
Profit sharing expense
1.353
1.353
NM
Total compensation and benefits
Other expenses
Total Expenses
47.516
26.096
29,663
19,938
21.420
9.725
82.1
48...
EFTA00135867.pdf
...It is worth noting, however, that these kids are
mostly non-White. (Adam was Hispanic.)"
Death Of Toledo "Renews The Anguish" Among Chicagoans "Still Pained" By 2014
Killing Of McDonald. The New York Times (4/17, Bosman, 20.6M) reports, "Chicagoans reacted
with horror and grief to body-camera video...
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