[ناشناس 2021-01-26 در 3:46 ب.ظ شماره پست: 0]

#3970 |

<p> In January 1997, the NASD censured Geiger, fined him $10,000, suspended him for ten days, and barred him from acting as a securities agency principal for one yr. In July 2002, the NASD censured Richardson and fined him $10,000 (jointly and severally with Sierra) for permitting Geiger and another Sierra employee to perform as fairness traders with out being registered to take action. Based on the NASD action, the state of Ohio refused to grant Geiger a securities sales license, and Geiger worked for Sierra out of his dwelling in Illinois throughout the occasions alleged within the Complaint. In June 2000, Richardson was fined $5,000 by the NASD for various violations at Sierra, together with, its failure to timely report transactions, failure to accurately memorialize the time of execution of transactions, failure to memorialize the time of entry and time of execution of transactions, and xây dựng nhà failure to ascertain, maintain and implement written supervisory procedures regarding trading and market making actions. The preliminary BluePoint trades all concerned Sierra, Goelo, Yang, and Luo. <i>This post was written by công ty xây dựng.</i></p>
<span style=”display:block;text-align:center;clear:both”><iframe width=”640″ height=”360″ src=”https://www.youtube.com/embed/SrycJ-yuJsg?showinfo=0&rel=0″ frameborder=”0″ allowfullscreen title=”1 year ago (c) by N/A”></iframe></span><p> Richardson is the president of Sierra, its head trader, and a component-owner of the firm. Markow also precipitated another 590,000 shares to be placed in the names of the spouses of Yang (220,000 shares) and Luo (220,000 shares), and Luos minor child (150,000 shares). The shares assigned to Luos baby had been quickly transferred to Luo, and he managed the shares held by his partner. The shares initially assigned to Yangs mom (120,000) were quickly transferred to Yang, and he had a minimum of partial control of the shares held by his in-legal guidelines and spouse. They held or directly managed 15.45% (3,090,000 shares), and Yang a minimum of partially managed a further 3.3% (660,000 shares) held by him, K&J, his spouse and in-laws. Acting for Sierras account, Geiger bought 100,000 shares from Yang at $6 per share. Geiger (on behalf of Sierra) bought one block of 50,000 shares every from Yang and Luo at $6.50 per share. Many individuals might select to undergo one or two of those steps.</p>
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