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Document Mentions (6 shared documents)
2 mentions1 same-page
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er Examination Program in the SEC's New York Regional Office vii.vw.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 colleague Dick "BBH" Best at SEC NY. Not
ember 19,2020 with ALL of the information I have provided to Norberg et al, the SDNY and others the SEC/Clayton announce the sudden replacements for Sollazzo who "retired" in July: SEC.gov I Lourdes Caballes and Michael Rufino Named Associate Directors of OCIE's Broker-Dealer Examination Program in the S
2 mentions1 same-page
Page ?Same page
aler 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 colleague Dick "BBH" Best at SEC NY. Not
ember 19,2020 with ALL of the information I have provided to Norberg et al, the SDNY and others the SEC/Clayton announce the sudden replacements for Sollazzo who "retired" in July: SEC.gov i Lourdes Caballes and Michael Rufino Named Associate Directors of OCIE's Broker-Dealer Examination Program in the S
2 mentions1 same-page
Page ?Same page
ealer 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 colleague Dick "BBH" Best at SEC NY. Not
ember 19,2020 with ALL of the information I have provided to Norberg et al, the SDNY and others the SEC/Clayton announce the sudden replacements for Sollazzo who "retired" in July: SEC.gov i Lourdes Caballes and Michael Rufino Named Associate Directors of OCIE's Broker-Dealer Examination Program in the
Sponsored
2 mentions1 same-page
Page ?Same page
ealer 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 colleague Dick "BBH" Best at SEC NY. Not
ember 19,2020 with ALL of the information I have provided to Norberg et al, the SDNY and others the SEC/Clayton announce the sudden replacements for Sollazzo who "retired" in July: SEC.gov i Lourdes Caballes and Michael Rufino Named Associate Directors of OCIE's Broker-Dealer Examination Program in the
2 mentions1 same-page
Page ?Same page
on Program in the SEC's New York Regional Office www.sec gov Not sure who Ms Caballes is. But Mikey Rufino I know. EFTA00070614 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 colleague Dick "BBH" Best at SEC NY. Not
ember 19,2020 with ALL of the information I have provided to Norberg et al, the SDNY and others the SEC/Clayton announce the sudden replacements for Sollazzo who "retired" in July: SEC.gov i Lourdes Caballes and Michael Rufino Named Associate Directors of OCIE's Broker-Dealer Examination Program in the
2 mentions1 same-page
Page ?Same page
aler 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 colleague Dick "BBH" Best at SEC NY. Not
ember 19,2020 with ALL of the information I have provided to Norberg et al, the SDNY and others the SEC/Clayton announce the sudden replacements for Sollazzo who "retired" in July: SEC.gov i Lourdes Caballes and Michael Rufino Named Associate Directors of OCIE's Broker-Dealer Examination Program in the S
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Mutual Connections (85)
Entities connected to both Clayton and Sollazzo
CD
Chris Dilorio
PERSON425 w/ Clayton·6 w/ Sollazzo
Donald Trump
PERSON311 w/ Clayton·5 w/ Sollazzo
JA
Janey
PERSON209 w/ Clayton·6 w/ Sollazzo
BE
Berger
PERSON177 w/ Clayton·6 w/ Sollazzo
MF
Michael Farkas
PERSON178 w/ Clayton·2 w/ Sollazzo
SEC NY
ORGANIZATION154 w/ Clayton·6 w/ Sollazzo
KE
Keener
PERSON157 w/ Clayton·2 w/ Sollazzo
BBH AML
ORGANIZATION116 w/ Clayton·6 w/ Sollazzo
the Securities and Exchange Commission
ORGANIZATION113 w/ Clayton·6 w/ Sollazzo
Mckessy
ORGANIZATION107 w/ Clayton·6 w/ Sollazzo
AF
Andrew Farkas
PERSON111 w/ Clayton·2 w/ Sollazzo
Steven Mnuchin
PERSON107 w/ Clayton·5 w/ Sollazzo
NO
Norberg
PERSON92 w/ Clayton·6 w/ Sollazzo
Julie K. Brown
PERSON76 w/ Clayton·6 w/ Sollazzo
DK
Dan Kamensky
PERSON48 w/ Clayton·4 w/ Sollazzo
Deutsche Bank
ORGANIZATION47 w/ Clayton·5 w/ Sollazzo
RB
Richard Best
PERSON42 w/ Clayton·6 w/ Sollazzo
Bill Richardson
PERSON39 w/ Clayton·2 w/ Sollazzo
Adam Sandler
PERSON39 w/ Clayton·2 w/ Sollazzo
NETE CFO
ORGANIZATION32 w/ Clayton·2 w/ Sollazzo