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City Dallas / Wilton / Weston / New York / / Company See Nikko Securities Co. International Inc. / H&A / Halpern & Associates LLC / Lighthouse Financial Group LLC / AU / Penson Financial Services Inc. / / Country United States / / Currency USD / / Event Reorganization / Delayed Filing / Product Issues / Product Recall / Bankruptcy / / Facility American Institute of Certified Public Accountants / / IndustryTerm retail / / Movie F/X / / Organization Auditing Standards Board / Division of Enforcement / Securities and Exchange Commission / American Institute of Certified Public Accountants / / Person Barbara Halpen / Barbara Halpern / Rule / / Position certified public accountant / senior auditor / president / registered broker-dealer / auditor / accountant / underwriter / CPA / Respondents / broker-dealer / public official / Chief Accountant / independent auditor / introducing broker / / Product registration / / ProvinceOrState Texas / New York / Connecticut / / PublishedMedium the Commission annual / the December monthly / / SocialTag 
UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release NoFebruary 23, 2015 ACCOUNTING AND AUDITING ENFORCEMENT