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Document Date: 2009-07-13 15:47:16

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City

New York City / /

Company

Barclays Capital Inc. / Baker Hostetler LLP / Diamond McCarthy LLP / McCabe Flynn & Arangio LLP / Kelley Drye & Warren LLP / Bear Wagner Specialists LLC / Designated Market Maker Units / New York Stock Exchange / Mayer Brown LLP / Sullivan & Worcester LLP / NYSE Euronext Inc. / Law / /

Country

United States / /

Currency

cent / USD / /

Event

M&A / Reorganization / Second Stock Issuance / /

Facility

Consolidated Audit Trail / /

IndustryTerm

faster technology / exception report algorithm / outmoded technology / /

Organization

United States District Court for the Southern District of New York / United States Court of Appeals / Law office of Henry Putzel / SECURITIES AND EXCHANGE COMMISSION Washington / D.C. / US Federal Reserve / Division of Enforcement / Securities and Exchange Commission / /

Person

RICHARD P. VOLPE / ROBERT W. LUCKOW / Paul F. McCurdy / Richard I. Janvey / Robert A. Scavone / Jr. (Scavone) / Carol Fox Foelak / SCOTT G. HUNT / Mona Akhtar / J. McGAGH / JR. / DAVID A. FINNERTY / DONALD R. FOLEY / II / FRANK A. DELANEY / IV / James V. Parolisi Stephen / GERARD T. HAYES / Heather H. Martin / Frank A. Delaney / IV (Delaney) / Henry Putzel / III / JOSEPH BONGIORNO / ROBERT A. JOHNSON / JR. / MICHAEL F. STERN / Walter Mack / Robert A. Johnson / Jr. (Johnson) / PATRICK E. MURPHY / Evan F. Barnes / Richard Primoff / George O. Richardson / III / Geoffrey Rogow / ROBERT A. SCAVONE / JR. / Donald R. Foley / II (Foley) / Scott L. Black / G. Hunt Thomas / Warren E. Turk / Adam B. Oppenheim / Paul E. Minnefor / Reda M. Hicks / FRANK A. DELANEY IV / J. Maxwell Beatty / Robert W. Luckow (Luckow) / Thomas P. Puccio / JAMES V. PAROLISI / Joan M. Secofsky / DONALD R. FOLEY II / THOMAS J. MURPHY / JR. / Lucia T. Chapman / Allan Kahn / Scott G. Hunt (Hunt) / Serena Ng / Kevin M. Fee / Thomas J. McCabe / Peter H. White / Franklin B. Velie / MICHAEL J. HAYWARD / Stephen J. Crimmins / James V. Parolisi (Parolisi) / Julian Solotorovsky / TODD J. CHRISTIE / Richard P. Volpe (Volpe) / Robert W. Luckow David Rivera / /

Position

Broker / clerk / specialist / front-line clerk / backup clerk / dealer / related broker / Administrative Law Judge / /

PublishedMedium

The Wall Street Journal / /

Technology

exception report algorithm / /

URL

http /

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