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SEC Complaint: Charles E. LeCroy, and Douglas W. MacFaddin
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Document Date: 2009-11-04 12:45:31

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File Size: 1,59 MB

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City

Orlando / New York / Philadelphia / Cos Cob / /

Company

JPMorgan Chase Bank N.A. / The express / GardnYf Michael Capital / Jefferson County / ABI Capital Management / J.P. Morgan Securities Inc. / /

Country

United States / /

Currency

USD / /

Event

Funding / Judicial Event / Employment Change / Business Partnership / Debt Financing / /

Facility

County's sewer system / /

IndustryTerm

public finance projects / transportation / taped telephone conversations / bond underwriter / municipal finance / Alabama law / bank / investment banks / itsaf1iliated commercial bank / law firms / /

MusicAlbum

Series 7 / /

Organization

Exchange Act and Municipal Securities Rulemaking Board / U.S. Environmental Protection Agency / Securities Industry and Financial Markets Association / bSouthern Division / Municipal Securities Rulemaking Board / G-20 / Bond Market Association / U.S. Department of Justice / UN Court / County commission / SECURITIES AND EXCHA NGE COMMISSION / Securities and Exchange Commission / /

Person

CHARLES E. LECROY / Douglas MacFaddin / /

Position

national broker-dealer / advisors / lead investment banker / commissioner / managing director / managing director and head / managing underwriter / lead underwriter / County bond underwriter / and the bank / vice president in March / vice president / /

ProvinceOrState

Alabama / New York / Connecticut / Pennsylvania / Delaware / Florida / /

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