Upload File

sec application for order to force sipc to act

51
Case 1:11-mc-00678-RLW Document 1 Filed 12/12/11 Page 1 of 51

Upload: stanford-victims-coalition

Post on 06-Apr-2018

228 views

Category:

Documents


0 download

Report

TRANSCRIPT

Page 1: SEC Application for Order to Force SIPC to Act

8/3/2019 SEC Application for Order to Force SIPC to Act

http://slidepdf.com/reader/full/sec-application-for-order-to-force-sipc-to-act 1/51

Case 1:11-mc-00678-RLW Document 1 Filed 12/12/11 Page 1 of 51

Page 2: SEC Application for Order to Force SIPC to Act

8/3/2019 SEC Application for Order to Force SIPC to Act

http://slidepdf.com/reader/full/sec-application-for-order-to-force-sipc-to-act 2/51

Case 1:11-mc-00678-RLW Document 1 Filed 12/12/11 Page 2 of 51

Page 3: SEC Application for Order to Force SIPC to Act

8/3/2019 SEC Application for Order to Force SIPC to Act

http://slidepdf.com/reader/full/sec-application-for-order-to-force-sipc-to-act 3/51

Case 1:11-mc-00678-RLW Document 1 Filed 12/12/11 Page 3 of 51

Page 4: SEC Application for Order to Force SIPC to Act

8/3/2019 SEC Application for Order to Force SIPC to Act

http://slidepdf.com/reader/full/sec-application-for-order-to-force-sipc-to-act 4/51

Case 1:11-mc-00678-RLW Document 1 Filed 12/12/11 Page 4 of 51

Page 5: SEC Application for Order to Force SIPC to Act

8/3/2019 SEC Application for Order to Force SIPC to Act

http://slidepdf.com/reader/full/sec-application-for-order-to-force-sipc-to-act 5/51

Case 1:11-mc-00678-RLW Document 1 Filed 12/12/11 Page 5 of 51

Page 6: SEC Application for Order to Force SIPC to Act

8/3/2019 SEC Application for Order to Force SIPC to Act

http://slidepdf.com/reader/full/sec-application-for-order-to-force-sipc-to-act 6/51

Case 1:11-mc-00678-RLW Document 1 Filed 12/12/11 Page 6 of 51

Page 7: SEC Application for Order to Force SIPC to Act

8/3/2019 SEC Application for Order to Force SIPC to Act

http://slidepdf.com/reader/full/sec-application-for-order-to-force-sipc-to-act 7/51

Case 1:11-mc-00678-RLW Document 1 Filed 12/12/11 Page 7 of 51

Page 8: SEC Application for Order to Force SIPC to Act

8/3/2019 SEC Application for Order to Force SIPC to Act

http://slidepdf.com/reader/full/sec-application-for-order-to-force-sipc-to-act 8/51

Case 1:11-mc-00678-RLW Document 1 Filed 12/12/11 Page 8 of 51

Page 9: SEC Application for Order to Force SIPC to Act

8/3/2019 SEC Application for Order to Force SIPC to Act

http://slidepdf.com/reader/full/sec-application-for-order-to-force-sipc-to-act 9/51

Case 1:11-mc-00678-RLW Document 1 Filed 12/12/11 Page 9 of 51

Page 10: SEC Application for Order to Force SIPC to Act

8/3/2019 SEC Application for Order to Force SIPC to Act

http://slidepdf.com/reader/full/sec-application-for-order-to-force-sipc-to-act 10/51

Case 1:11-mc-00678-RLW Document 1 Filed 12/12/11 Page 10 of 51

Page 11: SEC Application for Order to Force SIPC to Act

8/3/2019 SEC Application for Order to Force SIPC to Act

http://slidepdf.com/reader/full/sec-application-for-order-to-force-sipc-to-act 11/51

Case 1:11-mc-00678-RLW Document 1 Filed 12/12/11 Page 11 of 51

Page 12: SEC Application for Order to Force SIPC to Act

8/3/2019 SEC Application for Order to Force SIPC to Act

http://slidepdf.com/reader/full/sec-application-for-order-to-force-sipc-to-act 12/51

Case 1:11-mc-00678-RLW Document 1 Filed 12/12/11 Page 12 of 51

Page 13: SEC Application for Order to Force SIPC to Act

8/3/2019 SEC Application for Order to Force SIPC to Act

http://slidepdf.com/reader/full/sec-application-for-order-to-force-sipc-to-act 13/51

Case 1:11-mc-00678-RLW Document 1 Filed 12/12/11 Page 13 of 51

Page 14: SEC Application for Order to Force SIPC to Act

8/3/2019 SEC Application for Order to Force SIPC to Act

http://slidepdf.com/reader/full/sec-application-for-order-to-force-sipc-to-act 14/51

Case 1:11-mc-00678-RLW Document 1 Filed 12/12/11 Page 14 of 51

Page 15: SEC Application for Order to Force SIPC to Act

8/3/2019 SEC Application for Order to Force SIPC to Act

http://slidepdf.com/reader/full/sec-application-for-order-to-force-sipc-to-act 15/51

Case 1:11-mc-00678-RLW Document 1 Filed 12/12/11 Page 15 of 51

Page 16: SEC Application for Order to Force SIPC to Act

8/3/2019 SEC Application for Order to Force SIPC to Act

http://slidepdf.com/reader/full/sec-application-for-order-to-force-sipc-to-act 16/51

Case 1:11-mc-00678-RLW Document 1 Filed 12/12/11 Page 16 of 51

Page 17: SEC Application for Order to Force SIPC to Act

8/3/2019 SEC Application for Order to Force SIPC to Act

http://slidepdf.com/reader/full/sec-application-for-order-to-force-sipc-to-act 17/51

Case 1:11-mc-00678-RLW Document 1 Filed 12/12/11 Page 17 of 51

Page 18: SEC Application for Order to Force SIPC to Act

8/3/2019 SEC Application for Order to Force SIPC to Act

http://slidepdf.com/reader/full/sec-application-for-order-to-force-sipc-to-act 18/51

Case 1:11-mc-00678-RLW Document 1 Filed 12/12/11 Page 18 of 51

Page 19: SEC Application for Order to Force SIPC to Act

8/3/2019 SEC Application for Order to Force SIPC to Act

http://slidepdf.com/reader/full/sec-application-for-order-to-force-sipc-to-act 19/51

Case 1:11-mc-00678-RLW Document 1 Filed 12/12/11 Page 19 of 51

Page 20: SEC Application for Order to Force SIPC to Act

8/3/2019 SEC Application for Order to Force SIPC to Act

http://slidepdf.com/reader/full/sec-application-for-order-to-force-sipc-to-act 20/51

Case 1:11-mc-00678-RLW Document 1 Filed 12/12/11 Page 20 of 51

Page 21: SEC Application for Order to Force SIPC to Act

8/3/2019 SEC Application for Order to Force SIPC to Act

http://slidepdf.com/reader/full/sec-application-for-order-to-force-sipc-to-act 21/51

Case 1:11-mc-00678-RLW Document 1 Filed 12/12/11 Page 21 of 51

Page 22: SEC Application for Order to Force SIPC to Act

8/3/2019 SEC Application for Order to Force SIPC to Act

http://slidepdf.com/reader/full/sec-application-for-order-to-force-sipc-to-act 22/51

Case 1:11-mc-00678-RLW Document 1 Filed 12/12/11 Page 22 of 51

Page 23: SEC Application for Order to Force SIPC to Act

8/3/2019 SEC Application for Order to Force SIPC to Act

http://slidepdf.com/reader/full/sec-application-for-order-to-force-sipc-to-act 23/51

Case 1:11-mc-00678-RLW Document 1 Filed 12/12/11 Page 23 of 51

Page 24: SEC Application for Order to Force SIPC to Act

8/3/2019 SEC Application for Order to Force SIPC to Act

http://slidepdf.com/reader/full/sec-application-for-order-to-force-sipc-to-act 24/51

Case 1:11-mc-00678-RLW Document 1 Filed 12/12/11 Page 24 of 51

Page 25: SEC Application for Order to Force SIPC to Act

8/3/2019 SEC Application for Order to Force SIPC to Act

http://slidepdf.com/reader/full/sec-application-for-order-to-force-sipc-to-act 25/51

Case 1:11-mc-00678-RLW Document 1 Filed 12/12/11 Page 25 of 51

Page 26: SEC Application for Order to Force SIPC to Act

8/3/2019 SEC Application for Order to Force SIPC to Act

http://slidepdf.com/reader/full/sec-application-for-order-to-force-sipc-to-act 26/51

Case 1:11-mc-00678-RLW Document 1 Filed 12/12/11 Page 26 of 51

Page 27: SEC Application for Order to Force SIPC to Act

8/3/2019 SEC Application for Order to Force SIPC to Act

http://slidepdf.com/reader/full/sec-application-for-order-to-force-sipc-to-act 27/51

Case 1:11-mc-00678-RLW Document 1 Filed 12/12/11 Page 27 of 51

Page 28: SEC Application for Order to Force SIPC to Act

8/3/2019 SEC Application for Order to Force SIPC to Act

http://slidepdf.com/reader/full/sec-application-for-order-to-force-sipc-to-act 28/51

Case 1:11-mc-00678-RLW Document 1 Filed 12/12/11 Page 28 of 51

Page 29: SEC Application for Order to Force SIPC to Act

8/3/2019 SEC Application for Order to Force SIPC to Act

http://slidepdf.com/reader/full/sec-application-for-order-to-force-sipc-to-act 29/51

Case 1:11-mc-00678-RLW Document 1 Filed 12/12/11 Page 29 of 51

Page 30: SEC Application for Order to Force SIPC to Act

8/3/2019 SEC Application for Order to Force SIPC to Act

http://slidepdf.com/reader/full/sec-application-for-order-to-force-sipc-to-act 30/51

Case 1:11-mc-00678-RLW Document 1 Filed 12/12/11 Page 30 of 51

Page 31: SEC Application for Order to Force SIPC to Act

8/3/2019 SEC Application for Order to Force SIPC to Act

http://slidepdf.com/reader/full/sec-application-for-order-to-force-sipc-to-act 31/51

Case 1:11-mc-00678-RLW Document 1 Filed 12/12/11 Page 31 of 51

Page 32: SEC Application for Order to Force SIPC to Act

8/3/2019 SEC Application for Order to Force SIPC to Act

http://slidepdf.com/reader/full/sec-application-for-order-to-force-sipc-to-act 32/51

Case 1:11-mc-00678-RLW Document 1 Filed 12/12/11 Page 32 of 51

Page 33: SEC Application for Order to Force SIPC to Act

8/3/2019 SEC Application for Order to Force SIPC to Act

http://slidepdf.com/reader/full/sec-application-for-order-to-force-sipc-to-act 33/51

Case 1:11-mc-00678-RLW Document 1 Filed 12/12/11 Page 33 of 51

Page 34: SEC Application for Order to Force SIPC to Act

8/3/2019 SEC Application for Order to Force SIPC to Act

http://slidepdf.com/reader/full/sec-application-for-order-to-force-sipc-to-act 34/51

Case 1:11-mc-00678-RLW Document 1 Filed 12/12/11 Page 34 of 51

Page 35: SEC Application for Order to Force SIPC to Act

8/3/2019 SEC Application for Order to Force SIPC to Act

http://slidepdf.com/reader/full/sec-application-for-order-to-force-sipc-to-act 35/51

Case 1:11-mc-00678-RLW Document 1 Filed 12/12/11 Page 35 of 51

Page 36: SEC Application for Order to Force SIPC to Act

8/3/2019 SEC Application for Order to Force SIPC to Act

http://slidepdf.com/reader/full/sec-application-for-order-to-force-sipc-to-act 36/51

Case 1:11-mc-00678-RLW Document 1 Filed 12/12/11 Page 36 of 51

Page 37: SEC Application for Order to Force SIPC to Act

8/3/2019 SEC Application for Order to Force SIPC to Act

http://slidepdf.com/reader/full/sec-application-for-order-to-force-sipc-to-act 37/51

Case 1:11-mc-00678-RLW Document 1 Filed 12/12/11 Page 37 of 51

Page 38: SEC Application for Order to Force SIPC to Act

8/3/2019 SEC Application for Order to Force SIPC to Act

http://slidepdf.com/reader/full/sec-application-for-order-to-force-sipc-to-act 38/51

Case 1:11-mc-00678-RLW Document 1 Filed 12/12/11 Page 38 of 51

Page 39: SEC Application for Order to Force SIPC to Act

8/3/2019 SEC Application for Order to Force SIPC to Act

http://slidepdf.com/reader/full/sec-application-for-order-to-force-sipc-to-act 39/51

Case 1:11-mc-00678-RLW Document 1 Filed 12/12/11 Page 39 of 51

Page 40: SEC Application for Order to Force SIPC to Act

8/3/2019 SEC Application for Order to Force SIPC to Act

http://slidepdf.com/reader/full/sec-application-for-order-to-force-sipc-to-act 40/51

Case 1:11-mc-00678-RLW Document 1 Filed 12/12/11 Page 40 of 51

Page 41: SEC Application for Order to Force SIPC to Act

8/3/2019 SEC Application for Order to Force SIPC to Act

http://slidepdf.com/reader/full/sec-application-for-order-to-force-sipc-to-act 41/51

Case 1:11-mc-00678-RLW Document 1 Filed 12/12/11 Page 41 of 51

Page 42: SEC Application for Order to Force SIPC to Act

8/3/2019 SEC Application for Order to Force SIPC to Act

http://slidepdf.com/reader/full/sec-application-for-order-to-force-sipc-to-act 42/51

Case 1:11-mc-00678-RLW Document 1 Filed 12/12/11 Page 42 of 51

Page 43: SEC Application for Order to Force SIPC to Act

8/3/2019 SEC Application for Order to Force SIPC to Act

http://slidepdf.com/reader/full/sec-application-for-order-to-force-sipc-to-act 43/51

Case 1:11-mc-00678-RLW Document 1 Filed 12/12/11 Page 43 of 51

Page 44: SEC Application for Order to Force SIPC to Act

8/3/2019 SEC Application for Order to Force SIPC to Act

http://slidepdf.com/reader/full/sec-application-for-order-to-force-sipc-to-act 44/51

Case 1:11-mc-00678-RLW Document 1 Filed 12/12/11 Page 44 of 51

Page 45: SEC Application for Order to Force SIPC to Act

8/3/2019 SEC Application for Order to Force SIPC to Act

http://slidepdf.com/reader/full/sec-application-for-order-to-force-sipc-to-act 45/51

Case 1:11-mc-00678-RLW Document 1 Filed 12/12/11 Page 45 of 51

Page 46: SEC Application for Order to Force SIPC to Act

8/3/2019 SEC Application for Order to Force SIPC to Act

http://slidepdf.com/reader/full/sec-application-for-order-to-force-sipc-to-act 46/51

Case 1:11-mc-00678-RLW Document 1 Filed 12/12/11 Page 46 of 51

Page 47: SEC Application for Order to Force SIPC to Act

8/3/2019 SEC Application for Order to Force SIPC to Act

http://slidepdf.com/reader/full/sec-application-for-order-to-force-sipc-to-act 47/51

Case 1:11-mc-00678-RLW Document 1 Filed 12/12/11 Page 47 of 51

Page 48: SEC Application for Order to Force SIPC to Act

8/3/2019 SEC Application for Order to Force SIPC to Act

http://slidepdf.com/reader/full/sec-application-for-order-to-force-sipc-to-act 48/51

Case 1:11-mc-00678-RLW Document 1 Filed 12/12/11 Page 48 of 51

Page 49: SEC Application for Order to Force SIPC to Act

8/3/2019 SEC Application for Order to Force SIPC to Act

http://slidepdf.com/reader/full/sec-application-for-order-to-force-sipc-to-act 49/51

Case 1:11-mc-00678-RLW Document 1 Filed 12/12/11 Page 49 of 51

Page 50: SEC Application for Order to Force SIPC to Act

8/3/2019 SEC Application for Order to Force SIPC to Act

http://slidepdf.com/reader/full/sec-application-for-order-to-force-sipc-to-act 50/51

Case 1:11-mc-00678-RLW Document 1 Filed 12/12/11 Page 50 of 51

Page 51: SEC Application for Order to Force SIPC to Act

8/3/2019 SEC Application for Order to Force SIPC to Act

http://slidepdf.com/reader/full/sec-application-for-order-to-force-sipc-to-act 51/51

Case 1:11-mc-00678-RLW Document 1 Filed 12/12/11 Page 51 of 51


Farha SIPC Vice Chairman SEC Fraud Suit

SEC/SIPC Stipulations for Stanford Group Company Customers

SIPC and Its Accountability

UCAIug: AMI Security Update – September 2008 AMI-SEC Task Force AMI Security Acceleration Project (ASAP) AMI-SEC Task Force Chair: Darren Reece Highfill,

SEC Reply Memo in Support of Application for Order to SIPC to Liquidate Stanford Group Company under SIPA

Health Foundation Safety Improvement in Primary Care SIPC

annual rePort 2009 - SIPC

SEC MEDICAL GUIDANCE TASK FORCE ...a.espncdn.com/sec/media/2021/SEC Task Force...SEC MEDICAL GUIDANCE TASK FORCE REQUIREMENTS FOR COVID-19 MANAGEMENT: WINTER SPORTS (Revised: January

Induction experiments(sec. 29.1) Faraday’s law (sec. 29.2) Lenz’s law(sec. 29.3) Motional electromotive force(sec. 29.4) Induced electric fields(sec. 29.5)

Chapter 5 Applications of Newton’s Law Sec. 5-1 Force Laws Sec. 5-2 Tension and normal forces Sec. 5-3 Friction forces Sec. 5-4 The dynamics of uniform

SEC Medical Guidance Task Force Recommendations Summary - …a.espncdn.com/sec/media/2020/SEC Task Force Recommendations Fall.pdf · Title Microsoft Word - SEC Medical Guidance Task

Senator Vitter Letter to SVC re: SIPC Legislation

PROGRAMA SIPC 2015

SEC Task Force Report on Coursera

GAO Audit SIPC 1992

SIPC SEC Appeals Decision

INVEST IN EDIBLE OIL REFINING SECTOR - SIPC - Kandla

LPL Financial Member FINRA/SIPC 1 Member FINRA/SIPC PRESENTER NAME DATE December 9, 2014

Investigation of SIPC Trustee SEC

SIPC Response to Net Equity

SIPC Motion to Strike SEC Order

SEC News Digest, December 15, 2000provided by the SIPA In its Application SIPC also sought court decree appointing SIPC as trustee for the liquidation of the business of Meridian Meridian

Magnetic field of a moving charge(sec. 28.1) B field of current element (sec. 28.2) B field of current-carrying wire (sec. 28.3) Force between conductors(sec

annual repor t - SIPC

1 Hancock Institutional Advisors, LLC SEC Registered Investment Advisor Hancock Securities Group, LLC Member FINRA, SIPC, MSRB Hancock Institutional Advisors,

Sipc Thru The Years

LPL Financial Member FINRA/SIPC 1 Member FINRA/SIPC

SECOND ANNUAL REPORT 1972 - SIPC

SIPC Fourier transform, in 1D and in 2D

SEC Motion for SIPC to Show Cause in Stanford Group Company case

SIPC Accountability FINAL 03-01

SEC’s IG Report No. 495 on SIPC

Ch 1 Sample SIPC

SEC v SIPC Support of Application to enforce its statutory supervisory authority over SIPC

LPL Financial Member FINRA/SIPC 1 Member FINRA/SIPC Account View 1-201230