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INITIAL DECISION RELEASE NO. 739 ADMINISTRATIVE PROCEEDING FILE NO[removed]UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION
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Document Date: 2015-01-22 12:14:43

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File Size: 248,38 KB

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Company

AllianceBernstein Legacy Securities Master Fund L.P. / Litvak / DLA Piper LLP / Monarch Funding Corp. / Lehman / Wells Fargo Bond / Wellington Management Legacy Securities PPIF Master Fund LP / Montford & Co. / Jefferies & Co. / /

Country

United States / /

Currency

USD / /

Event

Funding / Person Communication and Meetings / Debt Financing / Judicial Event / M&A / /

Facility

bar Litvak / /

IndustryTerm

fictitious communications / /

Organization

U.S. government / Commission’s Office / United States Court of Appeals / SECURITIES AND EXCHANGE COMMISSION Washington / D.C. / US Federal Reserve / Division of Enforcement / Securities and Exchange Commission / /

Person

Kerry Dakin / Guy P. Riordan / Jon Edelman / Charles Phillip Elliott / Jeffrey L. Gibson / Rachel E. Hershfang / Donald L. Koch / Toby G. Scammell / Gary M. Kornman / David Netzer Korem / Gregory Bartko / John Jantzen / Jesse C. Litvak / Jesse C. Litvak (Litvak) / Alfred Clay Ludlum / III / Peter Siris / Julius Shiva / John W. Lawton / Lawrence Maxwell McCoy / Sarah B. Zimmer / Richard L. Goble / Cameron Elliot / Jilaine H. Bauer / John S. Brownson / Johnny Clifton / Christopher A. Lowry / Patrick J. Smith / Marshall E. Melton / Ross Mandell / Joseph Contorinis / Ira William Scott / /

Position

counsel / manager / broker / senior trader and managing director / Secretary / investment adviser / municipal securities dealer / broker-dealer / manager the substance / dealer / investment adviser / broker / dealer / municipal securities dealer / municipal advisor / dealer / judge / /

PublishedMedium

the Public Interest / /

SocialTag