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BEFORE THE NATIONAL BUSINESS CONDUCT COMMITTEE NASD REGULATION, INC. In the Matter of DECISION District Business Conduct Committee
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Document Date: 2013-04-11 15:08:10

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File Size: 21,06 KB

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Company

Company A / Respondent 1 / Firm A. During / Firm B / /

Currency

USD / /

Event

M&A / Conference Call / Second Stock Issuance / Business Partnership / Person Communication and Meetings / /

IndustryTerm

possible investment banking scenarios / telephone conversation / telephone conversations / healthcare market / consulting services / interactive audio-visual communications network / investment banking / /

Organization

State Securities Commission / National Business Conduct Committee / Securities and Exchange Commission / DECISION District Business Conduct Committee for District / NASD / /

Person

Joan C. Conley / William Louis Morgan / /

Position

chief financial officer / attorney / The sales assistant / Manager a copy / Corporate Secretary / director of the company and also received compensation / director / broker / sales assistant / chief executive officer / beneficial owner / regional legal counsel / representative / registered representative / assistant / director of the company and also received compensation for "marketing advice. / Branch Manager / /

ProvinceOrState

vs. Complaint No. C3A960014 District / /

Technology

telemedicine / distance learning / /

SocialTag