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nd restitution of 4.3 million; States: $70.8 million plus $20 million credited from the SEC settlement 4. Date of Action: Dec. 22, 2008 &ought By: Securities and Exchange Commission (SEC), Massachusetts Securities Division, New York State Attorney General (NYAG) and other members of the North American Securities Administrators A
eports with the SEC. These reports are available through the SEC's EDGAR database, which can be accessed through the SEC's web site (www.sec.gov). Broker-Dealer and Other Similar Registrations. Millennium has in the past had a broker-dealer entity registered under the Exchange Act and may in the future have
2 mentions1 same-page
Page ?Same page
nd restitution of 4.3 million; States: $70.8 million plus $20 million credited from the SEC settlement 4. Date of Action: Dec. 22, 2008 &ought By: Securities and Exchange Commission (SEC), Massachusetts Securities Division, New York State Attorney General (NYAG) and other members of the North American Securities Administrators A
eports with the SEC. These reports are available through the SEC's EDGAR database, which can be accessed through the SEC's web site (www.sec.gov). Broker-Dealer and Other Similar Registrations. Millennium has in the past had a broker-dealer entity registered under the Exchange Act and may in the future have
2 mentions1 same-page
Page ?Same page
nd restitution of 4.3 million; States: $70.8 million plus $20 million credited from the SEC settlement 4. Date of Action: Dec. 22, 2008 &ought By: Securities and Exchange Commission (SEC), Massachusetts Securities Division, New York State Attorney General (NYAG) and other members of the North American Securities Administrators A
eports with the SEC. These reports are available through the SEC's EDGAR database, which can be accessed through the SEC's web site (www.sec.gov). Broker-Dealer and Other Similar Registrations. Millennium has in the past had a broker-dealer entity registered under the Exchange Act and may in the future have
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Mutual Connections (135)
Entities connected to both the Securities and Exchange Commission and Broker-Dealer
CD
Chris Dilorio
PERSON298 w/ the·2 w/ Broker-Dealer
United States
LOCATION154 w/ the·3 w/ Broker-Dealer
NO
Norberg
PERSON139 w/ the·2 w/ Broker-Dealer
J. Robert Oppenheimer
PERSON117 w/ the·2 w/ Broker-Dealer
Supreme Court
ORGANIZATION92 w/ the·2 w/ Broker-Dealer
Department of Justice
ORGANIZATION88 w/ the·3 w/ Broker-Dealer
Samantha Power
PERSON87 w/ the·3 w/ Broker-Dealer
Ghislaine Maxwell
PERSON57 w/ the·2 w/ Broker-Dealer
New York
LOCATION48 w/ the·3 w/ Broker-Dealer
SEC NY
ORGANIZATION46 w/ the·2 w/ Broker-Dealer
Marc Rich
PERSON45 w/ the·3 w/ Broker-Dealer
JPMorgan Chase
ORGANIZATION44 w/ the·3 w/ Broker-Dealer
Federal Reserve
ORGANIZATION40 w/ the·3 w/ Broker-Dealer
ME
Mehraban
PERSON41 w/ the·2 w/ Broker-Dealer
DB
Dick Best
PERSON34 w/ the·2 w/ Broker-Dealer
BBH AML
ORGANIZATION33 w/ the·2 w/ Broker-Dealer
the State of New York
LOCATION31 w/ the·2 w/ Broker-Dealer
New York State
LOCATION24 w/ the·3 w/ Broker-Dealer
UBS AG
ORGANIZATION18 w/ the·3 w/ Broker-Dealer
PA
Pasquinelli
PERSON17 w/ the·2 w/ Broker-Dealer