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 | Open DocumentFile Size: 1,50 MBShare Result on FacebookCityNew York / /CompanyCitigroup Global Markets Inc. / New York Law Journal / NERA Economic Consulting / Page Mortgage-Backed Securities / Reserve Management Company Inc. / Ernst & Young LLP / High-Frequency Trading / Morgan Lewis / Lehman Brothers Holdings Inc. / Vitesse Semiconductor Corp. / Id. NERA Economic Consulting / Bear Stearns / Money-Market Pioneer and Son / Financial Industry Regulatory Authority / Mortgage-Backed Securities / Oechsle International Advisors LLC. / Reuters / Deutsche Bank Americas / Resrv Partners Inc. / IBM / The New York Times / Wall Street Journal / Insider Trading / Inverse Exchange-Traded Funds / Bloomberg / Washington Post / Morgan / Lewis & Bockius LLP / Baker Watts Inc. / /CountryPuerto Rico / United States / /CurrencyUSD / /EventEmployment Change / Person Communication and Meetings / FDA Phase / /FacilityFort Worth Office / United States Court of Appeals / bar Lawton / /IndustryTermadvisory services / securities law violations / person supervising brokers / practiced law / bank fraud / potential accounting violations / retail sales / law practice / banking / with more tools / /OrganizationUnited States District Court for the Southern District of New York / Commodity Futures Trading Commission / SEC Division / Supreme Court / Nationally Recognized Statistical Rating Organization / U.S. Securities and Exchange Commission / Office of Investor Education and Advocacy / Washington / D.C. District Court / Criminal Division / Compliance Department / U.S. House of Representatives Committee on Financial Services.23 In / Division of Trading / U.S. Supreme Court / Fraud Unit / U.S. Department of Justice / Court of Appeals / Financial Regulatory Authority / Office of the Whistleblower16 In / Office of Compliance Inspections and Examinations / Market Intelligence / Securities and Exchange Commission / U.S. Justice Department / U.S. Secret Service / Los Angeles Regional Office / Subcommittee on Securities / Insurance / and Investment / Department of Labor / Asset Management Unit / New York Regional Office / District Court / United States District Court for the Eastern District of New York / Fraud Detection and Market Intelligence / Federal Bureau of Investigation / United States Senate / Congress / U.S. Attorney’s Office / Fort Worth Office / Office of the Whistleblower / Municipal Securities and Public Pension Specialized Unit / Federal Deposit Insurance Corporation / Division of Corporation Finance / Reserve Primary Fund / NASD / Office of Fraud Detection / Stanford / Senior Commission / /PersonRichard J. Leon / Kerry J. Land / Julie A. Marcacci / Matthew C. Solomon / Elisse B. Walter / Compliance / Robert W. Cook / Dina ElBoghdady / Mark D. Cahn / Kimberly Cuff Hicks / Andrew J. Bowden / Nathaniel Popper / Chuck Grassley / Zachary Vonnegut-Gabovitch / Paul A. Beswick / Robert Khuzami / Jonathan Stempel / Barack Obama / David C. Behar / Didem A. Nisanci / Sarah N. Lynch / Jeannette Neumann / Jed Rakoff / Luis A. Aguilar / Katherine C. Milgram / Nicholas J. Losurdo / Frederic Bloc / Matthew Tannin / Lindsay B. Jackson / James L. Kroeker / Noelle Maloney / Eileen Rominger / George S. Canellos / Aguilar Calls / James E. Doench / Todd W. Smith / James R. Burns / Bruce Bent II / Anne C. Flannery / Jennifer L. Klass / Ken C. Joseph / Ralph Cioffi / Marshall Gandy / Jean Eaglesham / Jane A. Norberg / Heather L. Hopkins / Michele Wein Layne / Andrew M. Calamari / Theodore W. Urban / Norm Champ / Mary Jo White / Kagan / Stephen Glantz / Jack Reed / Mary L. Schapiro / Brian Stoker / Patricia Hurtado / Geoffrey Aronow / Lona Nallengara / Brenda P. Murray / John W. Lawton / Kirsten Grind / Paula Drake / Sean X. McKessy / James Brigagliano / Lorraine B. Echavarria / Mary Schapiro / Tanya Paul / Kaitlyn L. Piper / Daniel Gallagher / Jessica Silver-Greenberg / Scalia / Meredith B. Cross / Casey P. Cohen / Edward Wyatt / John Ramsay / Mary M. Dunbar / Jon T. Rymer / Julia N. Miller / F. Mindy Lo / Joshua R. Blackman / Bruce Bent Sr. / John C. Matthews / Robert E. Plaze / Ben A. Indek / George Canellos / Elisse Walter / Ivan P. Harris / Bent II / / /PositionDeputy Director in the Division of Trading and Markets / prosecutor / President / Deputy Inspector General / Director of the Division of Corporate Finance / senior counsel / the Deputy Director for Legal and Regulatory Policy of the Division / Staff Director / Assistant Director in the Enforcement Division / Current FINRA Broker-Dealer Enforcement / Deputy Chief / Chief / Director of the Division of Investment / staff attorney / trial counsel and enforcement attorney / Inspector General / Chief of Staff / and the General Counsel / broker-dealer / federal prosecutor / supervisor / Acting Director / Broker-Dealer Enforcement / Chief of Staff / Assistant District Attorney / Interim Inspector General / Chief Accountant / Deputy Director for the Division / Ethics Officer / Director for five years / Regional Director / Deputy Chief Litigation Counsel of the Division / legal secretary / Senior Regional Counsel / Deputy Director of the Division of Enforcement / Pg5Pg5 Pg6Pg6 Executive / counsel / Pg1Pg1 review Select Broker-Dealer / Investment Adviser / Investment Management attorney / CONTENTS Page Executive / Director the Enforcement / Acting Chief Accountant / Regional Director for Enforcement / paralegal / officer and director / Chief Counsel and Chief / Director National Associate / Defense Counsel / Deputy General Counsel / General Counsel and Chief Operating Officer / General Counsel / Director / Enforcement / Special Counsel / Assistant Director / Associate / Chairman / Director of the Division of Trading / Deputy Director / Director / trial lawyer / Commissioner / Deputy Director of the Division of Investment / Director of the Division of Enforcement / Chair / Assistant U.S. Attorney / Director for Regulatory Policy / and Deputy Director. / hedge fund adviser / Director for Examinations / Judge / Adviser / special agent / General Counsel and Chief of Staff / Assistant Regional Director / Director of the Division / /ProductWhistleblower16 / /ProvinceOrStateDallas County / District of Columbia / /PublishedMediumThe Wall Street Journal / New York Times / The New York Times / Washington Post / Wall Street Journal / New York Law Journal / /RegionNew England / /Technologypdf / /URLhttp /SocialTag |