Basic Inc. / Intelispan Inc. / Smith Barney & Co. / First Merger Capital Inc. / Sundstrand Corp. / Millenia Hope Inc. / Titan Corp. / Seaboard Securities Inc. / Radnor Research & Trading Company LLC / Capital Corp. / Dain Rauscher Inc. / Northway Inc. / NASDAQ stock market / Deer Consumer Products Inc. / E. Magnus Oppenheim & Co. / /
Country
United States / China / /
Currency
USD / /
Event
Business Partnership / Judicial Event / Funding / M&A / Person Communication and Meetings / Reorganization / Second Stock Issuance / Person Travel / Name Change / /
FINRA / UN Court / US Federal Reserve / FINRA's Department of Enforcement / FINRA's National Adjudicatory Council / Securities and Exchange Commission / NASD / /
Person
John VanCook / Mitchell T. Toland / Kent M. Houston / John B. Busacca III / Gilbert A. Zwetsch / Edward S. Brokaw / Howard Braff / Scott W. Hatfield / Dennis S. Kaminski / Robert J. Prager / Philippe N. Keyes / Joseph John / Michael A. Niebuhr / S.W. Hatfield / Kevin D. Kunz / WILLIAM SCHOLANDER / Al Rizek / Talman Harris / /
Position
broker / securities lawyer and the Chief Compliance Officer / salesman / broker-dealer / Chief Compliance Officer / supervisor / official / CEO / compliance officer / registered representative / /
UNITED STATES OF AMERICA before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release NoMarch 4, 2015 Admin. Proc. File No