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ADMINISTRATIVE PROCEEDING FILE NO[removed]UNITED STATES OF AMERICA .Before the SECURITIES AND EXCHANGE COMMISSION
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Document Date: 2007-11-21 15:18:38


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File Size: 4,02 MB

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City

York / Chicago / Utica / /

Company

First Albany Corporation / Shearson / Bache & Company / Stein Roe / /

Country

United States / /

Currency

USD / /

Event

Person Communication and Meetings / Reorganization / Funding / /

Facility

Hospital Fund / /

IndustryTerm

retail accounts / /

Organization

Specifically / New York State Teamsters Conference Pension and Retirement Fund / New York Regional Office / New York State Teamsters Council Health and Hospital Fund / Retirement Fund / Branch Office / Upstate Fund / Board of Trustees / Division of Enforcement / Securities and Exchange Commission / Welfare Fund / /

Person

Barbara Brooke Manning / John Inserra Daniel / Rocco Deperno / George Inserra / J. Inserra / ADMINISTRATIVE PROCEEDING / Nicholas J. Gentile / Henry Cauceglia / Thomas Blando / JOHN INSERRA / JOHN GIURA / William P. Hettinger / GEORGE INSERRA JOHN INSERRA NICHOLAS / Loeb Rhodes / Loeb / Daniel E. McIntyre / /

Position

securities representative / custodian / counsel / vice-president / manager / broker / registered broker-dealer / G. head / single representative / branch custodian / Chairman / first vice-president / representative / registered investment adviser / manager this role / merger manager / senior partner / judge / adviser / /

ProvinceOrState

New York / /

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