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Doscher v. Sea Port Group Securities, LLC et al, No. 1:2015cv00384 ...


Aug 5, 2015 ... Doscher v. Sea Port Group ... Sea Port Group Securities, LLC et al › Filing 54. Doscher v. Sea Port Group ..... Alan Scott Nopar. PREMIUM.

Other Fraud Cases, Dockets and Filings in the District of New ...


Bald et al v. Bane et al. Filed: November 10, 2016 as 1:2016cv00491 ... Faria v. Scott et al We have downloadable decisions or orders for this case ... Defendant: PruCo Securities, LLC, Prudential Financial, Inc., The Prudential Insurance ...

Enforcement Overview - Securities and Exchange Commission


Criminal enforcement of the federal securities laws is done through the U.S.. Department of ..... A. Michiel Meurs and Cees van der Hoeven; SEC v. .... SEC v. Scott D. Sullivan (WorldCom) . ..... In the Matter of Prudential Equity Group, LLC f/ k/a Prudential Securities, Inc. .........................................48 .... K.L. Group, L...

SEC Litigation Releases Archives 2008 - Securities and Exchange ...


LR-20840, Dec. 30, 2008, Creative Capital Consortium, LLC, et. al. ... 22, 2008, UnitedHealth Group Inc. and David J. Lubben See also Complaints: SEC v. UnitedHealth and ..... 6, 2008, Prudential Financial, Inc. ... 22, 2008, Scott Hirth et al.

US SEC 2004 Enforcement and Market Data - Securities and ...


United States Securities and Exchange Commission .... 01/26/2004. SEC v. First Access Financial, LLC, et al. LR-18561. 01/28/2004. In the Matter of .... LLC, f/k/a Prudential Securities. 33-8470. 08/25/2004. SEC v. Deutsche Bank Securities, Inc. ... SEC v. Merrill Scott & Associates, Ltd., et al. LR-18542. 11/10/2003. SEC v.

Select SEC and Market Data Fiscal 2006 - Securities and Exchange ...


In the Matter of Prudential Equity Group, LLC. 34-54371. 08/28/2006. SEC v. Frederick J. O'Meally, et al. LR-19813. 08/28/2006. In the Matter of Robert Vitale.

Archive of Completed Distributions - Securities and Exchange ...


Nov 9, 2016 ... Banc of America Securities LLC. *, Banc One Investment ... BBC Equities, LLC and Bravata Financial Group, Inc. et al. ... Concord Capital Inc., Scott Yoshizumi, et al. .... et al. *, Prudential Equity Group, LLC, formerly known as Prudential Securities Inc. ... Teresa V. Fernandez and Wharton Investments, Inc.

2005 Fall CLE Meetings CD ROM - American Bar Association


2 The Securities and Exchange Commission, as a matter of policy, disclaims responsibility for any private publication or statement by any of its ... SEC v. Scott D. Sullivan (WorldCom) . .... SEC v. Roys Poyiadjis, Lycourgos Kyprianou et al. ...... In the Matter of Prudential Equity Group, LLC, f/k/a Prudential Securities, Inc..

Sitemap - Liddle & Robinson, LLP


In Thys v. Fortis, the Appellate Division, First Department reinstated a claim of conversion of money for L&R's client against ... UBS Securities LLC · Nancy Thomas v. ... Deutsche Bank Securities, Inc. Robert Walton and Scott Hermo v. ... Orlando Chiossone et al. v. ... The Royal Academy of Dancing · Prudential S...

settlement agreement - Cotchett, Pitre & McCarthy, LLP


Scott Standel, Jason (ijlark, Wayne Ribnick, David Mizrahi, Howard Schneider, ... LLC, or Prudential Securities, Inc. (the “Prudential Defendants”), which claims ... et al. v. First Union Secur-ities,1nc.; Jeffrey Bouchard; and Wachovia Securities,.