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ED. •r I PI 6(e/ DB-SDNY-0027746 EFFA_00175421 EFTA01299207 Norkom 6.1.0 - World Check Details Page 2 of 2 CD CD CD CD co CD io co CD CD Joann DELPIZZO MILLER William JOHNSTON George SNYDER Judith BUSCH Elizabeth ATLEE CARAPICO Cealia CORAZA Elaine ENGLISH James ENGLISH CORAZA George REEF Amy BECCO
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
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.cit.gto.intranet.db.com/norkomper_de/screen/view.do?csrftknVISHeJizl... 11/14/2014 EFTA01400730 Norkom 6.1.0 - World Check Details Page 2 of 2 Joann DELPIZZO MILLER William JOHNSTON George SNYDER Judith BUSCH Elizabeth ATLEE CARAPICO Cecilia CORAZA Elaine ENGLISH James ENGLISH CORAZA George REIFF Amy BEC
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
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Norkom 6.1.0 - World Check Details Page 2 of 2 Joann DELPIZZO MILLER 'A.4Mem JOHNSTON George SNYDER Judith BUSCH Elizabeth ATLEE CARAPICO Coolie CORAZA Elaine ENGLISH James ENGLISH CORAZA George REIFF Amy BECC
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
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Norkom 6.1.0 - World Check Details Page 2 of 2 Joann DELPIZZO MILLER 'A.4Mem JOHNSTON George SNYDER Judith BUSCH Elizabeth ATLEE CARAPICO Coolie CORAZA Elaine ENGLISH James ENGLISH CORAZA George REIFF Amy BECC
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 Joann DELPIZZO MILLER and the Business Conduct Committee
JE
James ENGLISH
PERSON4 w/ Joann·4 w/ the
MC
Mary CORAZA
PERSON4 w/ Joann·4 w/ the
AM
Anthony MONTALBANO
PERSON4 w/ Joann·4 w/ the
AF
Arland FRIEND
PERSON4 w/ Joann·4 w/ the
JF
Judith FRIEND
PERSON4 w/ Joann·4 w/ the
CJ
Constance ATLEE JOHNSTON
PERSON4 w/ Joann·4 w/ the
EA
Elizabeth ATLEE
PERSON4 w/ Joann·4 w/ the
AB
Amy BECCONE
PERSON4 w/ Joann·4 w/ the
PennMont Securities
ORGANIZATION4 w/ Joann·4 w/ the
NYSE Arca
ORGANIZATION4 w/ Joann·4 w/ the
EL
Elaine
PERSON4 w/ Joann·4 w/ the
NYSE Arca Equities Rule
ORGANIZATION4 w/ Joann·4 w/ the
GS
George SNYDER
PERSON4 w/ Joann·4 w/ the
JB
Judith BUSCH
PERSON4 w/ Joann·4 w/ the
GR
George REIFF
PERSON3 w/ Joann·3 w/ the
Norkom Technologies Ltd.
ORGANIZATION3 w/ Joann·3 w/ the
nyse corp/
ORGANIZATION2 w/ Joann·2 w/ the
Richard Kahn
PERSON2 w/ Joann·2 w/ the
External Sources
ORGANIZATION2 w/ Joann·2 w/ the
KK
Keke KAHN
PERSON2 w/ Joann·2 w/ the