EFTA00236788Set 9
2013-09-204p1,415w
NYSE Rules 476(aX6), 401, 472,
476(A)(6) and 342, NASD Rules 2210 and 2110 and state securities laws
Disposition: Cease & Desist, Fine, Penalty, Disgorgement, Investor Education.
Details
https://www.justice.gov/epstein/files/DataSet%209/EFTA00236788.pdf