1,172 results for "November 21 2015"

Page 36 of 47
EFTA00039665.pdf
OCR Confidence: 85%  •  2243.5 KB
...Formal appeal for preliminary denial covered action 2015-016/ Knight Capital TCR & Appendix Date: Fri, 21 May 2021 03:14:00 +0000 Attachments: KCG_Appendix_3-20_13_penultimate.docx; KCG_TCR_3-20-13-penultimate_drafl.pdf; KCG TCR 3-20-13-penultimate_draft.docx; KCG_Appendix_3-20...
EFTA00067130.pdf
OCR Confidence: 85%  •  7350.2 KB
...MJD ORDER ACCEPTING OFFER OF SETTLEMENT August 3, 2015 INTRODUCTION Disciplinary Proceeding No. 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...
EFTA00294306.pdf
OCR Confidence: 85%  •  1519.6 KB
...Bloomberg, March 31, 2013 BERN DYNAMIC LIP 26 EFTA00294331 AUM History - Lucerne Capital Management Current Funds 27 BERN DYNAMIC LIP EFTA00294332 Investor Base Firm Investor Base as of November 1, 2013 Employee 7.4% Multi-family office 4.3% Fund of funds 21.5% BERN DYNAMIC LLP Endowment/ foundation 0...
EFTA00082947.pdf
OCR Confidence: 85%  •  8381.5 KB
...MJD ORDER ACCEPTING OFFER OF SETTLEMENT August 3, 2015 INTRODUCTION Disciplinary Proceeding No. 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...
EFTA00094977.pdf
OCR Confidence: 85%  •  744.1 KB
...The change of name after my marriage to November 21,2019was from . My x husband and his accom ice in as e as ave one u on my papers in as egas county Clark and change it from And I have saw irregularity in my banks immediately after Maxwell visit...
EFTA00082705.pdf
OCR Confidence: 85%  •  7855.8 KB
...MJD ORDER ACCEPTING OFFER OF SETTLEMENT August 3, 2015 INTRODUCTION Disciplinary Proceeding No. 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...
EFTA00098841.pdf
OCR Confidence: 85%  •  8617.1 KB
...MJD ORDER ACCEPTING OFFER OF SETTLEMENT August 3, 2015 INTRODUCTION Disciplinary Proceeding No. 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...
EFTA00673207.pdf
OCR Confidence: 85%  •  2355.3 KB
...At the age of 43 and the second-youngest person ever, Trudeau was designated the next prime minister after leading his party in the October 19, 2015, federal election to a majority government victory. He is expected to take office on November 4, 2015, at which time he will assume...
EFTA00070722.pdf
OCR Confidence: 85%  •  6763.0 KB
...Formal appeal for denial covered action 2015-0 l 6/ Knight Capital TCR & Appendix Date: Fri, 28 May 2021 13:25:21 +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...
EFTA00040288.pdf
OCR Confidence: 85%  •  4120.0 KB
...www.finra.org The SEC https://www.sec.gov/litigation/admin/2015/33-9711.pdf EFTA00040334 Before the SECURITIES AND EXCHANGE COMMISSION Before the . SECURITIES AND EXCHANGE COMMISSION . SECURITIES ACT OF 1933 . Release No. 9711 / January 27, 2015 . SECURITIES EXCHANGE ACT O F 1934 . Release No. 74141 / January 27, 2015...
EFTA00505780.pdf
OCR Confidence: 85%  •  7503.1 KB
...payable in cash or in-kind) Maturity Date [51 years from Closing Issue Price USS[10,0(X)) per share Issue Size USS50,000.000 ('losing Date [November 24' 201:1 Conversion Series A Preferred convert at any time after a Qualified Listing, at a (20%) discount to the Listing...
EFTA00098380.pdf
OCR Confidence: 85%  •  2665.1 KB
...www.finra.org The SEC https://www.sec.gov/litigation/admin/2015/33-9711.pdf Before the SECURITIES AND EXCHANGE COMMISSION Before the . SECURITIES AND EXCHANGE COMMISSION . SECURITIES ACT OF 1933 . Release No. 9711 / January 27, 2015 . SECURITIES EXCHANGE ACT O F 1934 . Release No. 74141 / January 27, 2015 . ACCOUNTING...
EFTA00263576.pdf
OCR Confidence: 85%  •  6799.3 KB
...16:28 15/01/2016 1525 .14/01/2016 12:49 6 21/1212015 15:56 37 23/11/2015 16:01 19/101015 13:55 18/091015 8 1660 0 2443812015 16:30 1 16/07/2015 14:20 20/0612015 ferrl Nt/ RECOR3M3 INDIVIDUAL CREDIT REPORT Other Other...
EFTA00069074.pdf
OCR Confidence: 85%  •  2986.6 KB
...www.finra.org The SEC https://www.sec.gov/litigation/admin/2015/33-9711.pdf Before the SECURITIES AND EXCHANGE COMMISSION Before the . SECURITIES AND EXCHANGE COMMISSION . SECURITIES ACT OF 1933 . Release No. 9711 / January 27, 2015 . SECURITIES EXCHANGE ACT O F 1934 . Release No. 74141 / January 27, 2015 . ACCOUNTING...
EFTA00268109.pdf
OCR Confidence: 85%  •  9793.5 KB
...26 to 21 parliamentary majority.122) 2018 state election The 2018 state election was held on 17 March. The July to September 2014 Newspoll had seen Labor begin to the Liberals on the two-party-preferred vote for the first time since 200923) The October to December 2015 Newspoll saw...
EFTA00070529.pdf
OCR Confidence: 85%  •  3189.9 KB
...www.finra.org The SEC https://www.sec.gov/litigation/admin/2015/33-9711.pdf Before the SECURITIES AND EXCHANGE COMMISSION Before the . SECURITIES AND EXCHANGE COMMISSION . SECURITIES ACT OF 1933 . Release No. 9711 / January 27, 2015 . SECURITIES EXCHANGE ACT O F 1934 . Release No. 74141 / January 27, 2015 . ACCOUNTING...
EFTA00096577.pdf
OCR Confidence: 85%  •  3949.6 KB
...www.finra.org EFTA00096620 The SEC https://www.sec.gov/litigation/admin/2015/33-9711.pdf Before the SECURITIES AND EXCHANGE COMMISSION Before the . SECURITIES AND EXCHANGE COMMISSION . SECURITIES ACT OF 1933 . Release No. 9711 / January 27, 2015 . SECURITIES EXCHANGE ACT O F 1934 . Release No. 74141 / January 27, 2015...
EFTA00078082.pdf
OCR Confidence: 85%  •  3261.7 KB
...www.finra.org The SEC https://www.sec.gov/litigation/admin/2015/33-9711.pdf Before the SECURITIES AND EXCHANGE COMMISSION Before the . SECURITIES AND EXCHANGE COMMISSION . SECURITIES ACT OF 1933 . Release No. 9711 / January 27, 2015 . SECURITIES EXCHANGE ACT O F 1934 . Release No. 74141 / January 27, 2015 . ACCOUNTING...
EFTA00210758.pdf
OCR Confidence: 85%  •  9755.5 KB
...Attorney's Office had an obligation to notify the victims 12 EFTA00210801 Case 9:08-cv-80736-KAM Document 48 Entered on FLSD Docket 03/21/2011 Page 13 of 42 U.S. Attorney's Correspondence at 255 (emphasis rearranged). 24. On about November 29, 2007, the U.S. Attorney...
EFTA00094289.pdf
OCR Confidence: 85%  •  2916.8 KB
...15-CR-66-LTS, 2015 WL 11022886 (S.D.N.Y. Mar. 26, 2015) 8 United States v. Rowe, No. 02 CR. 756 LMM, 2003 WL 21196846 (S.D.N.Y. May 21, 2003) 8 United States v. Salvagno, 314 F. Supp. 2d 115 (N.D.N.Y. 2004) 27...
EFTA00064615.pdf
OCR Confidence: 85%  •  3660.6 KB
...www.finra.org The SEC https://www.sec.gov/litigation/admin/2015/33-9711.pdf Before the SECURITIES AND EXCHANGE COMMISSION Before the . SECURITIES AND EXCHANGE COMMISSION . SECURITIES ACT OF 1933 . Release No. 9711 / January 27, 2015 . SECURITIES EXCHANGE ACT O F 1934 . Release No. 74141 / January 27, 2015 . ACCOUNTING...
EFTA00072751.pdf
OCR Confidence: 85%  •  2407.4 KB
...www.finra.org EFTA00072768 The SEC https://www.sec.gov/litigation/admin/2015/33-9711.pdf Before the SECURITIES AND EXCHANGE COMMISSION Before the . SECURITIES AND EXCHANGE COMMISSION . SECURITIES ACT OF 1933 . Release No. 9711 / January 27, 2015 . SECURITIES EXCHANGE ACT O F 1934 . Release No. 74141 / January 27, 2015...
EFTA00039689.pdf
OCR Confidence: 85%  •  6837.1 KB
...MJD ORDER ACCEPTING OFFER OF SETTLEMENT August 3, 2015 INTRODUCTION Disciplinary Proceeding No. 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...
EFTA00070691.pdf
OCR Confidence: 85%  •  2909.7 KB
...Sentember 1 2020 8:21 AM cfl 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...
EFTA00071708.pdf
OCR Confidence: 85%  •  3182.9 KB
...www.finra.org The SEC https://www.sec.gov/litigation/admin/2015/33-9711.pdf EFTA00071738 Before the SECURITIES AND EXCHANGE COMMISSION Before the . SECURITIES AND EXCHANGE COMMISSION . SECURITIES ACT OF 1933 . Release No. 9711 / January 27, 2015 . SECURITIES EXCHANGE ACT O F 1934 . Release No. 74141 / January 27, 2015...

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