Web Results

www.sec.gov/litigation/admin/2011/34-65643.pdf

Oct 27, 2011 ... In anticipation of the institution of these proceedings, Respondent has submitted an Offer of Settlement (the “Offer”) which the Commission has determined to accept. Solely for the purpose of these proceedings and any other proceedings brought by or on behalf of the. Commission, or to which the ...

media.ca11.uscourts.gov/opinions/pub/files/201611083.pdf

Nov 1, 2017 ... Fiero v. Fin. Indus. Regulatory Auth., Inc., 660 F.3d 569,. 571–72 (2d Cir. 2011). The FINRA Code of Procedure sets forth a multi-layered hearing and appeals process that governs disciplinary actions against FINRA-affiliated brokers and dealers. 3. Once FINRA formally charges a broker with a violation by ...

strismaher.com/wp-content/uploads/2016/08/14-1132-Petition-for-Writ-of-Certiorari.pdf

Mar 17, 2015 ... Smith, Inc.; Knight Capital Americas L.P., formerly known as Knight Equity Markets L.P.; UBS Securi- ties LLC; E*TRADE Capital Markets LLC; National. Financial Services LLC; and Citadel Derivatives. Group LLC, now known as Citadel Securities LLC, defendants below. Respondents are Greg Manning; ...