Denver / San Francisco / Houston / Boston / New York / Washington / DC / Philadelphia / Salt Lake City / Atlanta / Fort Worth / Los Angeles / Stamford / Miami / Chicago / /
Company
Stifel Nicolaus & Co. / Mariner Energy Inc. / Morgan Keegan & Company Inc. / Apache Corporation / Raymond James Financial Services Inc / Direct Edge ECN LLC / AR's Global / NewPoint Financial Services Inc. / Penn Mutual Insurance Company / Order / Pipeline Trading Systems LLC / Morgan Asset Management Inc. / Stifel / Nicolaus & Co. / Inc. / Milstream Strategy Group LLC / NASDAQ Stock Market / Janney Montgomery Scott LLC / /
information technology systems / technology improvements / unsuitable structured products / appropriate technology tools / /
Organization
Enforcement Division / NEP / Executive Committee / Division of Risk / Strategy / and Financial Innovation / Department of Justice / FINRA / Chicago Regional Office / Philadelphia Regional Office / Atlanta Regional Office / Commission’s office of Compliance Inspections and Examinations / office of Risk Assessment and Surveillance / Division of Enforcement / Securities and Exchange Commission / Los Angeles Regional Office / /
Person
David W. Noack / Clayton Peterson / Alfred R. Berkeley III / Fred J. Federspiel / H. Clayton Peterson / Paul George Chironis / Francisco Illarramendi / Drew Peterson / /
Position
municipal advisors / and others / United States Attorney for the District of Connecticut / Philadelphia-based regional broker/dealer / board member / portfolio manager / chief executive / based investment adviser / MUNICIPAL ADVISORS / independent consultant / president and vice chairman / founder and chief executive officer / CEO / chairman / registered investment adviser / registered representative / adviser / lawyer / chairman and former chief executive / /
Examinations by the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations