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Administrative Proceeding: ICAP Securities USA LLC, Ronald A. Purpora, Gregory F. Murphy, Peter M. Agola, Ronald Boccio, Kevin Cunningham, Donald E. Hoffman, Jr., and Anthony Parisi
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Document Date: 2009-12-18 11:47:28

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File Size: 68,69 KB

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City

Brightwaters / Garden City / Matawan / Oceanport / Staten Island / Plandome / Millerton / Jersey City / /

Company

ICAP North America / IDBs / USA LLC / ICAP Securities USA LLC / ICAP Electronic Broking / First Brokers / ICAP Corporates / UST / Intercapital Securities / ICAP plc / United States Treasury / trading by ICAP / /

Country

United Kingdom / United States / /

Event

Reorganization / Bankruptcy / /

IndustryTerm

electronic broker / workup protocols / indirect wholly-owned subsidiary / inter-dealer broker / certain workup protocols / government securities brokers / /

MarketIndex

FTSE 100 / /

Organization

FINRA / Securities and Exchange Commission / US Treasury / /

Person

Gregory F. Murphy / Donald E. Hoffman / Jr. / Anthony Parisi / Peter M. Agola / Kevin Cunningham / Ronald A. Purpora / Ronald Boccio / /

Position

President / broker / manager of the desk / clerk / MBS Desk Assistant Manager / manager and assistant manager of the MBS desk / Global Executive / Co-Chief Executive / Desk Manager and the MBS Desk Assistant Manager / MBS Desk Manager / manager / C. INTER-DEALER / independent consultant / MBS Desk Assistant Manager / during the Relevant Period / consultant / electronic broker / Chief Operating Officer / co-manager / Director / the assistant manager of the desk / MBS Desk Manager and the MBS Desk Assistant Manager / the Co-Chief Executive of the predecessor firm / member of Global Executive Management Group / /

ProvinceOrState

New York / New Jersey / Pennsylvania / /

Technology

certain workup protocols / flash / workup protocols / /

SocialTag