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Finance / Depository Trust & Clearing Corporation / Securities regulation in the United States / SEC Rule 10b-5 / Securities and Exchange Commission / Financial economics / Securities / Financial system


SEC Complaint: Jonathan P. Flom
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Document Date: 2014-09-23 16:01:07

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File Size: 4,46 MB

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City

West Palm Beach / New York / Jupiter / /

Company

Depository Trust Company / Altmark Holdings Limited / International Stock Transfer Inc. / Adfitech Inc . / Palm Beach / /

Country

New Zealand / United States / Australia / United Kingdom / Ireland / /

Currency

USD / /

Event

Product Issues / M&A / Judicial Event / Funding / Product Recall / /

IndustryTerm

bank charges / securities law violations / bank account / illicit services / internet advertising / Bank records / legitimate legal services / counterfeit securities / e -; / bank accounts / wire instructions identifying bank accounts / federal securities law / bank / market maker / /

Organization

SECURITIES AND EXCHANGE COMMISSION New York / Commission's office of Compliance Inspections and Examinations / Securities and Exchange Commission / /

Person

JONATHAN P. FLOM / Amelia A. Cottrell Alexander Vasilescu Adam / S. Grace Justin / Defendant / Cecil Franklin Speight / Adam S. Grace / Andrew M. Calamari Amelia / Justin A. Alfano John Lehmann / Cold Callers / /

Position

attorney / advisors / officer and director / player / reasonable attorney / Company Officer / reasonab le attorney / authorized officer / director / officer / and director / lawyer / /

Product

registration / /

ProvinceOrState

New York / Connecticut / Delaware / Florida / /

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