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73rd United States Congress / United States Securities and Exchange Commission / Investment / 76th United States Congress / Investment Advisers Act / U.S. Securities and Exchange Commission / Prudential Financial / Financial adviser / Securities Exchange Act / United States securities law / Financial economics / Finance


Administrative Proceeding: JOHN S. PEFFER; Release No[removed]; IA-2461; File No[removed]
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Document Date: 2010-03-15 17:58:19

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File Size: 37,71 KB

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City

Newburyport / Boston / /

Company

Wachovia Securities LLC / Prudential Financial Inc. / New York Stock Exchange / Wachovia Corporation / Prudential Securities Inc. / /

Country

United States / /

Event

Judicial Event / Business Partnership / M&A / /

Facility

United States District Court / /

IndustryTerm

insurance brokers / broker-dealer subsidiary / /

Organization

United States District Court for the District of Massachusetts / Securities and Exchange Commission / /

Person

Martin J. Druffner / JOHN S. PEFFER / /

Position

Jonathan G. Katz Secretary / registered representative at a branch office / broker / investment adviser / broker / dealer / representative / dealer / uniform investment adviser / /

ProvinceOrState

Massachusetts / /

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