Decisions and Reports, Volumen47

accordingly Act and Rule Act Release action administrative law judge affirm the NASD's applicants asserts Association of Securities Atco audit basis Board broker broker-dealer Cal-Am capital CBOE clients Commission Commissioners LOOMIS common stock compliance Corporation costs customers December denied directors Dirks disciplinary disclose disclosure EFCA engaged Exchange's filed financial statements findings of violation firm's Form 8-K funds Hanauer inventory investment adviser investors issue law judge Lester Witte loans market maker markups Mattel MATTER member firm million NASD found NASD's findings National National's NYSE Offer of Settlement options Paine Webber period person preferred stock prior Pritzker Family proceedings Promulgated purchase record recordkeeping registered securities registrant's request respect respondents Rule 2(e salesman sanctions imposed Schedule 13D scienter SEC Docket Section 10(b Securities Act Securities Dealers Securities Exchange Act securities transactions shareholders shares supra thereunder tion trading USSC Volpe