1,172 results for "November 21 2015"
Page 37 of 47
EFTA00071747.pdf
...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...
EFTA00079641.pdf
...www.finra.org
The SEC
https://www.sec.govilitigationiadmin/2015/33-9711.pdf
EFTA00079691
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 AND...
EFTA00094212.pdf
...www.finra.org
The SEC
https://www.sec.govilitigationiadmin/2015/33-9711.pdf
EFTA00094254
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 AND...
EFTA00067752.pdf
...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...
EFTA00069109.pdf
...Formal appeal for preliminary denial covered action 2015-016/ Knight Capital TCR & Appendix
From: Chris Dilorio
Subject: Formal appeal for preliminary denial covered action 2015-016/ Knight Capital TCR & Appendix
I am in receipt of the SEC preliminary denial of my award claim for the Oppenheimer AML covered action 2015...
EFTA00097481.pdf
...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...
EFTA00067932.pdf
...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...
EFTA00064662.pdf
...www.finra.org
EFTA00064690
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...
EFTA00069247.pdf
...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...
EFTA00505807.pdf
...Perfomrance for 2010-present is estimated to be
approximately 30% per annum
21
EFTA00505827
Case Studies: Command Security MOM
Initial Entry
/IX; $12Wee
Acquire controlling
block
2007
r
A
+1\
2004
200?
2022
\[\
Replaced Board of Directors
Took over as Chairman
Brought in Rudy Guiliani
Exit
Value Creation:
•
•
Took over...
EFTA00069147.pdf
...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...
EFTA00262389.pdf
...edi
us
er is a rrtetnhp
asmania / owns home and property
versity
tween 2014 - 2016
Paul Gardner - Threatening behaviour - Port Germain
I fled from Paul Gardner's residence at 3 - 4am 2015 during his threatening behaviour and
fled to his next door neighbours house Lee-anne and Wade Ferguson (21...
EFTA00039908.pdf
...21
Exhibit B
EFTA00039942
Case17260-00832-RME DanunOtate
Saud-how itivrios
UNITED STATES DISTRICT COURT
SOUTHERN DISTRICT OF NEW YORK
x
UNITED STATES OF AMERICA
SUPERSEDING INDICTMENT
S4 16 Cr. 832 (KMK)
NICHOLAS TARTAGLIONE,
Defendant.
x
COUNT ONE
The Grand Jury charges:
1.
From at least in or about 2015...
EFTA00268579.pdf
...09 November, 2012 - The Hon Tanya Plibersek MP, Minister for Health
EFTA00268623
Department of Health & Ageing - All Portfolio Ministerial Media items from the curre.Page 5 of 143
*9fr 21 March, 2013*- The Hon Tanya Plibersek MP, Minister for Health
A Record Number of GPs in Training ..4r
This year...
EFTA00091035.pdf
...www.finra.org
EFTA00091083
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...
EFTA00301083.pdf
...With the company targeting 30-35% of operating cash to be paid
out in total, this implies over $2bn in buybacks in 2014 (3/4.32mm shares at $70) and
another 42.5bn in 2015, which would add --$0.15/sh to 2014 EPS and $0.35/sh to
2015...
EFTA00075382.pdf
...21
Exhibit B
EFTA00075416
Case17260-00832-RME DanunOtate
Saud-how itivrios
UNITED STATES DISTRICT COURT
SOUTHERN DISTRICT OF NEW YORK
x
UNITED STATES OF AMERICA
SUPERSEDING INDICTMENT
S4 16 Cr. 832 (KMK)
NICHOLAS TARTAGLIONE,
Defendant.
x
COUNT ONE
The Grand Jury charges:
1.
From at least in or about 2015...
EFTA00094182.pdf
...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...
EFTA00076383.pdf
...Attached hereto as Exhibit 8, is a true and correct copy of the November 21, 2005
Sworn Statement of
11.
Attached hereto as Exhibit 9, is a true and correct copy of the May 4, 2016 Email
Correspondence from Laura Menninger.
I declare under penalty of perjury that the foregoing...
EFTA00069011.pdf
...Formal appeal for preliminary denial covered action 2015-016/ Knight Capital TCR & Appendix
Subject: Formal appeal for preliminary denial covered action 2015-016/ Knight Capital TCR & Appendix
From: Chris Dilorio
I am in receipt of the SEC preliminary denial of my award claim for the Oppenheimer AML covered action 2015...
EFTA00072287.pdf
...Formal appeal for denial covered action 2015-016/ Knight Capital TCR & Appendix
Date: Wed, 21 Apr 2021 16:03:19 +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...
EFTA00591461.pdf
...12, 2015) (statement of Sen. Hoeven) ("It
ensures that Federal crime victims are informed of any plea bargain or deferred prosecution
agreement in their case . ...'); 161 Cong. Rec. 51466 (daily ed. Apr. 21, 2015) (statement of
Sen. Hoeven) ("This bill has many important, strong points
It also ensures that Federal...
EFTA00264665.pdf
...Starr, reveals in his book that
Clinton narrowly escaped possible assassination in the Philippines in November 1996. During his
visit to the Asia-Pacific Economic Cooperation (APEC) forum in Manila, while he was on his way
to meet with a senior member of the Philippine government, Clinton was saved from...
EFTA00065335.pdf
...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...
EFTA00168459.pdf
...IN WITNESS WHEREOF, I have hereunto set my signature this 21,4 day of November,
dk
(S)
\e" AP
e"'
OSP
'
Kellerhals Ferguson LIP
1•)0
Subscribed and
and s
m to before me this 21st day of OetobtrAer, 2011.
N
My c&rdnission expires:
Territory of the United States...
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