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United States securities law / Corporate crime / United States Securities and Exchange Commission / Financial markets / Investment Advisor / Investment Advisers Act / Financial adviser / U.S. Securities and Exchange Commission / Fair Fund / Financial economics / Finance / Business


[TEMPLATE FOR SETTLED ORDER IN COMBINED CEASE AND DESIST AND ADMINISTRATIVE PROCEEDING]
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Document Date: 2013-07-31 17:30:11

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City

Oklahoma City / New York / /

Company

A. R. SCHMEIDLER & CO. INC. / Hudson Valley Bank / Wunderlich Securities Inc. / Capital Gains Research Bureau Inc. / Gearhart & Otis Inc. / /

Country

United States / /

Currency

USD / cent / /

Event

M&A / /

Facility

World Financial Center / /

IndustryTerm

investment advisory services / bank account / bank / final accounting / custody services / /

Organization

Enforcement Division / UN Court / New York Regional Office / US Federal Reserve / Division of Enforcement / Disgorgement Fund / Securities and Exchange Commission / Fair Fund / /

Person

Robert Keyes / /

Position

investment adviser and introducing broker-dealer / qualified independent consultant / counsel / particular broker-dealer / actor / Murphy Secretary / cashier / Chief Counsel / Independent Consultant / dually registered investment adviser / consultant / introducing broker / clearing broker / adviser / /

ProvinceOrState

New York / /

URL

Pay.gov / http /

SocialTag