Organized Crime on Wall Street: Hearing Before the Subcommittee on Finance and Hazardous Materials of the Committee on Commerce, House of Representatives, One Hundred Sixth Congress, Second Session, September 13, 2000, Volume 4 |
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Abramo activity Ageloff alleged allegedly Arthur Levitt assistance Attorney's Office boiler rooms broker-dealer brokerage firms Business Week Chairman charges chop stock Colombo Crime Family commit securities fraud companies complaints CONGRESS THE LIBRARY conspiracy to commit criminal customers D.H. Blair defendants Dingell efforts Exchange Commission extortion federal filed Form S-8 fraudulent FUENTES Genovese HealthTech indictment Internet investigation investment involved issuers law enforcement LIBRARY OF CONGRESS market makers Meyers Pollock MICHAEL microcap fraud microcap stock fraud microcap stocks million NASAA NASD Regulation Nasdaq NASDR organized crime Organized Crime Family OTC Bulletin Board OXLEY penny stock pled guilty private placement prosecution prosecutors public offerings pump and dump registered representatives regulatory RICO Rule scheme Securities and Exchange securities fraud securities industry securities markets sell SKOLNIK small-cap Sterling Foster stock brokers stock fraud trading U.S. Attorney United States Attorney Wall Street York
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Page 95 - The Comptroller of the Currency, the Board of Governors of the Federal Reserve System, the Federal Deposit Insurance Corporation...
Page 131 - The oldest international organization devoted to investor protection, the North American Securities Administrators Association, Inc., was organized in 1919. Its membership consists of the securities administrators in the 50 states, the District of Columbia, Canada, Mexico and Puerto Rico. NASAA is the voice of securities agencies responsible for grass-roots investor protection and efficient capital formation.
Page 116 - Mr. Chairman and Members of the Subcommittee, I am very pleased to appear before you today again on behalf of the Atomic Energy Commission.
Page 69 - Federal sentences for a number of different offenses were found in a landmark study by the United States Attorney's Office for the Southern District of New York.
Page 268 - Oh, what a tangled web we weave when first we practice to deceive!
Page 64 - Chairman, Committee on Commerce House of Representatives The Honorable Michael G. Oxley Chairman, Subcommittee on Finance and Hazardous Materials Committee on Commerce House of Representatives The Honorable Bud Shuster Chairman, Committee on Transportation and Infrastructure House of Representatives The Honorable Sherwood C.
Page 1 - Chair would recognize the gentleman from Illinois, Mr. Shimkus, for an opening statement. Mr. SHIMKUS. Thank you, Mr. Chairman. I...
Page 121 - 85 — some things before out that's the main point, December of '85 until June of '87, when I moved over to the United States Attorney's Office for the Southern District of New York where I was an Assistant United States Attorney.
Page 107 - ... for sales to occur in a state without this sort of provision, the transactions must be registered in another state with such a provision, and the disclosure document filed in the state must be delivered to all purchasers before sale in both states; or (3) the securities are issued under a state law exemption that permits general solicitation and advertising, so long as sales are made only to accredited investors, as that term is defined in Regulation D.
Page 256 - NASDR's overall regulatory program involves developing and administering qualifications testing for securities professionals. All sales and supervisory persons associated with NASD member firms must demonstrate a requisite understanding of the products offered by their firms, as well as regulatory requirements for the functions they are to perform for their employer-members by passing NASDR-administered qualifications tests.