China-Biotics Inc. / CBS / Kenton Capital Ltd. / Arthur Lipper Corp. / KPMG Peat Marwick LLP / Cromarty / Planners Ltd. / Maiden Lane LLC / W.J. Howey Co. / WHX Corp. / Bank of NY / Bloomberg / C. Meissner / Arete LLC / /
Country
United States / /
Currency
USD / /
Event
Person Communication and Meetings / Person Travel / M&A / /
Facility
Mary Hall / Bloomberg terminal / /
IndustryTerm
unregistered broker / sold insurance / fixed income products / financial services / life insurance / overnight banking / information technology services / bank-to-bank overnight loans / recent competitive products / institutional trader / prospective insurance clients / /
Organization
Government National Mortgage Association / U.S. District Court / FINRA / SECURITIES AND EXCHANGE COMMISSION Washington / D.C. / US Federal Reserve / Securities and Exchange Commission / Division of Enforcement / NASD / /
Person
Richard Greeott (Greeott) / Guy P. Riordan / John P. Flannery / Nat / Prot / Jay T. Comeaux / Respondent James Doug Scott (Scott) / Gordon Brent Pierce / Bill Sparkman (Sparkman) / Johnny Clifton / Gary Snisky (Snisky) / Jack Chadwick (Chadwick) / Marshall E. Melton / Leslie J. Hughes / Gary M. Kornman / Kenneth C. Meissner (Meissner) / KENNETH C. MEISSNER / A. Gary Snisky / Laurie Jones Canady / Cameron Elliot / JAMES DOUG SCOTT / Gregory Evan Goldstein / S.W. Hatfield / Eleanor Weems (Weems) / Mark Hart (Hart) / /
Position
broker / registered broker-dealer / financial advisors / dealer / investment adviser / officer / director / member of an advisory board / investment adviser / registered broker-dealer at any relevant time / municipal securities dealer / municipal advisor / director / member of an advisory board / investment adviser / principal underwriter / counsel / trustee and custodian / unregistered broker / investment adviser / municipal securities dealer / institutional trader / model / official notice / broker / dealer / l Exec. / Administrative Law Judge / founder / /
INITIAL DECISION RELEASE NO. 768 ADMINISTRATIVE PROCEEDING FILE NOUNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION