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SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No[removed]September 16, 2014 Admin. Proc. File No. 3-14810r
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Document Date: 2014-09-16 17:44:51

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File Size: 122,54 KB

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City

New York / Brooklyn / Chicago / /

Company

Lempert Brothers International USA Inc. / CMG Institutional Trading LLC / Emerald Investments Inc. / /

Country

United States / /

Currency

USD / /

Event

Person Communication and Meetings / /

Facility

bar FINRA / /

Holiday

Labor Day / /

Organization

Registered Securities Association on Remand On / SECURITIES ASSOCIATION / U.S. Securities and Exchange Commission / FINRA / SECURITIES AND EXCHANGE COMMISSION Washington / D.C. / Review Subcommittee of the NAC / FINRA's National Adjudicatory Council / Commission for Plunkett / NASD / /

Person

William Jackson Blalock / Alan Lawhead / Donald R. Gates / Howard Brett Berger / Lynn M. Powalski / Joseph Patrick Hannan / Bruce Martin Zipper / JOHN JOSEPH PLUNKETT / Colleen E. Durbin / Gregory Evan Goldstein / Nicholas Avello / William J. Murphy / /

Position

president and chief compliance officer / Deputy Secretary / broker-dealer / general securities representative / Chair / representative / president / chief compliance officer / former president / chief compliance officer / /

ProvinceOrState

New York / /

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