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Document Mentions (3 shared documents)
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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
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
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
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
2 mentions1 same-page
Page ?Same page
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
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 (20)
Entities connected to both Norkom Technologies Ltd. and the Business Conduct Committee
External Sources
ORGANIZATION9 w/ Norkom·2 w/ the
EL
Elaine
PERSON3 w/ Norkom·4 w/ the
NYSE Arca
ORGANIZATION3 w/ Norkom·4 w/ the
NYSE Arca Equities Rule
ORGANIZATION3 w/ Norkom·4 w/ the
Joann DELPIZZO MILLER
ORGANIZATION3 w/ Norkom·4 w/ the
PennMont Securities
ORGANIZATION3 w/ Norkom·4 w/ the
GS
George SNYDER
PERSON3 w/ Norkom·4 w/ the
JB
Judith BUSCH
PERSON3 w/ Norkom·4 w/ the
EA
Elizabeth ATLEE
PERSON3 w/ Norkom·4 w/ the
JE
James ENGLISH
PERSON3 w/ Norkom·4 w/ the
AB
Amy BECCONE
PERSON3 w/ Norkom·4 w/ the
MC
Mary CORAZA
PERSON3 w/ Norkom·4 w/ the
AM
Anthony MONTALBANO
PERSON3 w/ Norkom·4 w/ the
AF
Arland FRIEND
PERSON3 w/ Norkom·4 w/ the
JF
Judith FRIEND
PERSON3 w/ Norkom·4 w/ the
CJ
Constance ATLEE JOHNSTON
PERSON3 w/ Norkom·4 w/ the
GR
George REIFF
PERSON3 w/ Norkom·3 w/ the
nyse corp/
ORGANIZATION2 w/ Norkom·2 w/ the
BIOGRAPHY1 Limited
ORGANIZATION2 w/ Norkom·2 w/ the
Richard Kahn
PERSON2 w/ Norkom·2 w/ the