Document Mentions (3 shared documents)

EFTA01400729

2 mentions1 same-page

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ss testimony is provided within required time frame. External Sources External Source http://www.nyse.com/pdfs/12-ARCA-3.pdf Copyright 1998-2010 Norkom Technologies Ltd. All rights reserved. DB_scr_world_check https://aml.cit.gto.intranet.db.com/norkom_per_de/screen/view.do?csrftknVISHeJizl... 11/14/2014 EFTA01400

CCONE Mary CORAZA Anthony MONTALBANO Arland FRIEND Judith FRIEND Constance ATLEE JOHNSTON 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 f

EFTA01357670

2 mentions1 same-page

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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 Technologies Ltd. All rights reserved. Ce_scr_worid_check https://aml.cit.gto.intranet.db.com/norkom_per_de/screen/view.do?csrakn=VISHe.lizl... 11/14/2014 CONFIDEN

ANO Arland FRIEND Judith FRIEND Constance ATLEE JOHNSTON Further Information External 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 fa

EFTA01357238

2 mentions1 same-page

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Mutual Connections (20)

Entities connected to both Norkom Technologies Ltd. and PennMont Securities

Richard Kahn

PERSON

2 w/ Norkom·11 w/ PennMont

External Sources

ORGANIZATION

9 w/ Norkom·2 w/ PennMont

NYSE Arca