Document Mentions (5 shared documents)

EFTA00086291_email_002

2 mentions1 same-page

Page ?Same page

I Act: 34 ... www.sec.gov LG: Boruch Greenberg, Joe Lerman, Dan Gellman same guys. Same f'n address:

ssociate Directors of OCIE's Broker-Dealer Examination Program in the SEC's New York Regional Office www.sec g ov Not sure who Ms Caballes is. But Mikey Rufino I know. If you read the Clayton/Dick "BBH" Best pr you'd say Mikey Rufino was at the BD SRO FINRA FROM 2013 until joining his former FINRA colleagu

EFTA00090355_email_003

2 mentions1 same-page

Page ?Same page

I Act: 34 ... www.sec.gov LG: Boruch Greenberg, Joe Lerman, Dan Gellman same guys. Same f'n address:

Associate Directors of OCIE's Broker-Dealer Examination Program in the SEC's New York Regional Office www.sec.gov Not sure who Ms Caballes is. But Mikey Rufino I know. If you read the Clayton/Dick "BBH" Best pr you'd say Mikey Rufino was at the BD SRO FINRA FROM 2013 until joining his former FINRA colleagu

EFTA00040401

2 mentions1 same-page

Page ?Same page

I Act: 34 ... www.sec.gov LG: Boruch Greenberg, Joe Lerman, Dan Gellman same guys. Same f'n address: