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ADMINISTRATIVE PROCEEDING BEFORE THE SECURITIES COMMISSIONER OF MARYLAND IN THE MATTER OF: *
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Document Date: 2011-05-06 11:56:20

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File Size: 88,46 KB

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City

Finksburg / /

Company

Chima Group / Respironics Inc. / Global Capital Securities Corporation / SunTrust Investment Services LLC / Blackrock Global / Morgan Stanley DW Inc. / LUMEN ASSET MANAGEMENT LLC / SunTrust Investment Services Inc. / Chesapeake Energy / Wachovia Securities LLC / Eaton Vance / FT 1103 Emerging Markets / Financial Industry Regulatory Authority / Lazard World Dividend & Income Fund Inc. / Qualcomm / /

Currency

USD / /

Event

M&A / Person Communication and Meetings / /

IndustryTerm

technology sector / note-taking software / short-term trader / technology stocks / /

Organization

office of the Maryland / Canadian Coal Trust Unit / Securities Division / Ms. V / FT Unit / Nuveen Equity Premium Advantage Closed Fund / NASD / /

Person

Uzo Chima / J.T. Despite / /

Position

Maryland Securities Commissioner / investment adviser representative / short-term trader / broker / business model / producer / managing partner / Commissioner / investment adviser / NFSC Active Trader / agent and investment adviser representative / Attorney General / SECURITIES COMMISSIONER / top producer / /

Product

Gorilla software / Gorilla / /

ProvinceOrState

Maryland / /

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