Financial Industry Regulatory Authority Inc. / Arthur Lipper Corp. / Bravata Financial Group LLC / Richard C. Spangler Inc. / NYLIFE Securities Inc. / BBC Equities LLC / /
Country
United States / /
Currency
USD / /
Event
Judicial Event / Natural Disaster / /
Organization
Internal Revenue Service / FINRA / SECURITIES AND EXCHANGE COMMISSION Washington / D.C. / UN Court / Division of Enforcement / Securities and Exchange Commission / /
Person
John Francis / Don Warner Reinhard / Carol Fox Foelak / Jeffrey L. Gibson / Evelyn Litwok / James E. Franklin / Gary M. Kornman / David Netzer Korem / Vladislav Steven Zubkis / Benjamin Levy Sec / JOHN J. BRAVATA / Ahmed Mohamed Soliman / Alfred Clay Ludlum / III / ANTONIO M. BRAVATA / Julius Shiva / RICHARD J. TRABULSY / John W. Lawton / William F. Lincoln / Richard L. Goble / Vladimir Boris Bugarski / Joseph S. Amundsen / ANTONIO M. BRAVATA ARE EACH BARRED / Frank Act / Kenneth E. Mahaffy / Jr. / Hudson / Johnny Clifton / Christopher A. Lowry / Marshall E. Melton / Andrew O. Schiff / Ira William Scott / /
Position
Official Notice Official / imposing broker-dealer / broker / unregistered broker-dealer / registered broker-dealer / consultant / investment adviser / municipal securities dealer / registration and imposing broker-dealer / dealer / investment adviser / investment adviser / broker / dealer / municipal securities dealer / municipal advisor / dealer / adviser / /
INITIAL DECISION RELEASE NO. 737 ADMINISTRATIVE PROCEEDING FILE NO[removed]UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION