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Goldman To Acquire Market Maker Spear, Leeds & Kellogg Spear Leeds is also the third-largest NASDAQ market maker with market making in 6400
... Spear Leeds is a principal presence in electronic trading, too, ...
www.snl.com/financial_svc/manda/20000911si.asp - 16k - |
Spear, Leeds & Kellogg Specialists LLC. Since 1931, Spear, Leeds & Kellogg Specialists LLC has been committed to ...
We invite you to learn more about us at Spear, Leeds & Kellogg Specialists LLC. ...
www.slk.com/ - 9k - |
NASD - Press Room - News Release - 3/22/05 NASD Fines Spear, Leeds & Kellogg $1 Million for Concealing Sales of IPO Shares
... NASD found that Spear Leeds used this system to circumvent DTC's IPO ...
www.nasd.com/web/idcplg?IdcService=SS_ GET_PAGE&ssDocName=NASDW_013628 - 32k - |
NASD - Press Room - News Release - 3/22/05 Spear Leeds had objected to the IPO Tracking System in a comment letter to the
... In its comment letter, Spear Leeds raised concerns that the system would ...
www.nasd.com/web/idcplg?IdcService=SS_ GET_PAGE&ssDocName=NASDW_013628&PrinterFriendly=1 - 19k - |
Securities Regulation & Law Rpt - Goldman Sachs Sub, Formerly ... NASD alleged that Spear Leeds used this system to circumvent DTC's IPO Tracking
... NASD said its disciplinary action rested on Spear Leeds' actions to ...
subscript.bna.com/SAMPLES/srlr.nsf/ 0/f8ec47f9e1e52bf385256fcf007f7390?OpenDocument - 10k - |
Comments of Goldman, Sachs & Co. and Spear, Leeds & Kellogg, LP on ... Spear, Leeds & Kellogg, LP 120 Broadway New York, NY 10271 ... ("Goldman Sachs")
and Spear, Leeds & Kellogg, LP ("SLK") each a broker-dealer registered with ...
www.sec.gov/rules/concept/s71103/goldmanspear072503.htm - 30k - |
MSN Money - Company Focus -- Unequal justice: Can the NYSE police ... But when the end of trading nears, NYSE documents show, the Spear, Leeds & Kellogg
... The penalties: The NYSE fined Spear, Leeds $275000 and the specialist ...
moneycentral.msn.com/content/p63639.asp - 34k - |
MSN Money - Company Focus -- Unequal justice: Can the NYSE police ... For three months in early 1999, a Spear, Leeds & Kellogg specialist lets "limit
... On a fall day in 1998, a specialist for Spear, Leeds & Kellogg is ...
moneycentral.msn.com/content/p63639.asp?Printer - 26k - |
FindLaw for Legal Professionals - Case Law, Federal and State ... First Options is a wholly owned subsidiary of defendant Spear, Leads & Kellogg
Corporation. For the sake of simplicity, we use LIT to refer to actions of ...
caselaw.lp.findlaw.com/cgi-bin/getcase. pl?court=11th&navby=case&no=0013002OPN - 45k - |
A 5409 - April 12, 2002 Spear, Leeds & Kellogg / Headwaters Capitol. SILK. 0501. SLHC ... Spear Leads D
Quant. SILK. 0501. SLDQ. Transcend Capital, LP. PFSI. 0234. TRSD ...
www.nscc.com/impnot/notices/notice2002/a5409.htm - 28k - |
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