Coffin Communications Group / Basic Inc. / Wall Street Journal / Fenner & Smith Inc. / Merrill Lynch & Co. Inc. / PCC Group Inc. / TSC Industries Inc. / Respondents / RICHMARK CAPITAL CORPORATION / Smith Barney & Co. Inc. / RMC Holdings Inc. / Paulson Investment Company Inc. / I. RichMark Capital Corporation / Northway Inc. / White / Capital Gains Research Bureau Inc. / Dow Jones / Dickstein Shapiro Morin & Oshinsky LLP / First Southwest Company / /
Country
United States / /
Currency
USD / /
Event
Product Issues / M&A / Business Partnership / Person Communication and Meetings / /
SECURITIES AND EXCHANGE COMMISSION Washington / D.C. / Division of Enforcement / Securities and Exchange Commission / /
Person
Jeffrey B. Norris / Doyle Mark White / Gilbert A. Zwetsch / Richard Monello / Andrew Yaros / Monello "pulled" Weigand / J. Tara Holubar / Chad Weigand / Frank C. Razzano / Richard Lundgren / /
Position
manager / broker / vice president / vice president of clearing services and the compliance director / director of investment banking / administrative law judge / vice president / secretary / and treasurer / law judge / registered broker-dealer / general strategic planning and corporate finance / underwriter / salesman / investment banker / broker-dealer / The law judge / days broker-dealer / securities dealer / THE COMMISSION BROKER-DEALER / representative / dealer / president / each owned 50% / introducing broker / manager in July / registration and vice president / clearing broker / lawyer / branch manager / fourth salesman / /
Product
customer confirmations / the law judge / disclosure / /
Commission Opinion: Richmark Capital Corporation and Doyle Mark White