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Document Mentions (4 shared documents)
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mmittee to be in violation of NYSE Arca Equities Rule by failing to provide testimony as requested by FINRA. Apr 2O12 -to be permanently barred from NYSE Arca membership unless testimony is provided within requred time frame. External Sources External Source httplAinvw.nysa.com/pdfs/12-ARCA•3 pdf Copyr
JOHNSTON Further Information [BIOGRAPHY] Limited partner with PennMont Securities. [IDENTIFICATION] To be detemened. [REPORTS] Jan 2O12 - found by the Business Conduct Committee to be in violation of NYSE Arca Equities Rule by failing to provide testimony as requested by FINRA. Apr 2O12 -to be permanently barred from NYSE Ar
2 mentions1 same-page
Page ?Same page
ttee to be in violation of NYSE Arca Equities Rule by failing to provide testimony as requested by FINRA. Apr 2012 - to be permanently barred from NYSE Arca membership unless testimony is provided within required time frame. External Sources External Source http://www.nyse.com/pdfs/12-ARCA-3.pdf Copy
OHNSTON Further Information [BIOGRAPHY] Limited partner with PennMont Securities. [IDENTIFICATION] To be determined. [REPORTS] Jan 2012 - found by the Business Conduct Committee to be in violation of NYSE Arca Equities Rule by failing to provide testimony as requested by FINRA. Apr 2012 - to be permanently barred from NYSE
2 mentions1 same-page
Page ?Same page
ittee to be in violation of NYSE Arca Equities Rule by failing to provide testimony as requested by FINRA. Apr 2012 - to be permanently barred from NYSE Arca membership unless testimony is provided within required time frame. http ilvev.v; nyse corp/pdtsi12-ARCA-3 prif Copyright 1998.2010 Norkom Technol
rnal Sources External Source (BIOGRAPHY1 Limited partner with PennMont Securities. [IDENTIFICATION) To be determined. [REPORTS) Jan 2O12 -found by the Business Conduct Committee to be in violation of NYSE Arca Equities Rule by failing to provide testimony as requested by FINRA. Apr 2012 - to be permanently barred from NYSE
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2 mentions1 same-page
Page ?Same page
ittee to be in violation of NYSE Arca Equities Rule by failing to provide testimony as requested by FINRA. Apr 2012 - to be permanently barred from NYSE Arca membership unless testimony is provided within required time frame. http ilvev.v; nyse corp/pdtsi12-ARCA-3 prif Copyright 1998.2010 Norkom Technol
rnal Sources External Source (BIOGRAPHY1 Limited partner with PennMont Securities. [IDENTIFICATION) To be determined. [REPORTS) Jan 2O12 -found by the Business Conduct Committee to be in violation of NYSE Arca Equities Rule by failing to provide testimony as requested by FINRA. Apr 2012 - to be permanently barred from NYSE
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Mutual Connections (25)
Entities connected to both NYSE Arca and the Business Conduct Committee
Richard Kahn
PERSON55 w/ NYSE·2 w/ the
NYSE Arca Equities Rule
ORGANIZATION17 w/ NYSE·4 w/ the
AB
Amy BECCONE
PERSON4 w/ NYSE·4 w/ the
EL
Elaine
PERSON4 w/ NYSE·4 w/ the
JE
James ENGLISH
PERSON4 w/ NYSE·4 w/ the
MC
Mary CORAZA
PERSON4 w/ NYSE·4 w/ the
Joann DELPIZZO MILLER
ORGANIZATION4 w/ NYSE·4 w/ the
PennMont Securities
ORGANIZATION4 w/ NYSE·4 w/ the
CJ
Constance ATLEE JOHNSTON
PERSON4 w/ NYSE·4 w/ the
JF
Judith FRIEND
PERSON4 w/ NYSE·4 w/ the
AF
Arland FRIEND
PERSON4 w/ NYSE·4 w/ the
AM
Anthony MONTALBANO
PERSON4 w/ NYSE·4 w/ the
GS
George SNYDER
PERSON4 w/ NYSE·4 w/ the
JB
Judith BUSCH
PERSON4 w/ NYSE·4 w/ the
EA
Elizabeth ATLEE
PERSON4 w/ NYSE·4 w/ the
Norkom Technologies Ltd.
ORGANIZATION3 w/ NYSE·3 w/ the
GR
George REIFF
PERSON3 w/ NYSE·3 w/ the
Virginia Giuffre
PERSON3 w/ NYSE·2 w/ the
WJ
William JOHNSTON
PERSON2 w/ NYSE·2 w/ the
VA
Virginia ATLEE
PERSON2 w/ NYSE·2 w/ the