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Finance / Securities Exchange Act / Floor broker / New York Stock Exchange / STAMP / U.S. Securities and Exchange Commission / Floor trader / Financial markets / Financial economics / Financial system


Appeals Court Decision: Edward John McCarthy v. SEC
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Document Date: 2007-08-10 15:33:20

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File Size: 72,27 KB

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City

Washington / D.C. / Manhattan / New York / /

Company

Oakford Corporation / New York Stock Exchange / McCarthy / /

Currency

USD / /

Event

Product Issues / Judicial Event / Business Partnership / /

IndustryTerm

floor traders / brokerage services / securities law / floor broker / /

Organization

Enforcement Division / Congress / Board's Committee / Exchange Commission / Stock Exchange Board / Exchange Board / Securities and Exchange Commission / Stock Exchange's Division / /

Person

Bill Killeen / Eric Summergrad / Edward John / Giovanni P. Prezioso / EDWARD JOHN MCCARTHY / MICHAEL A. CONLEY / GEORGE BRUNELLE / Richard Lindsey / Mark Pennington / Suzanne E. Auletta / /

Position

counsel / Circuit Judge / actor / broker / Director of Market / floor broker / clerk / relatively young and inexperienced broker / independent broker / /

Product

record keeping / /

ProvinceOrState

New York / /

SocialTag