SPEAKER INDEX CONTENTS INSERTS
CLAY 67
DOHERTY 24 34 36 40 41 42 43 44 45
46 58 71 73 75
FAZIO 15 36 37 38 54 65 66
HOMMEL 80 95 99 100 101 102 103 104 105
106 107 110 111 112 113 114 115 116
119 120 121 122 124 126 127 128
INSLEE 58
JONES 58 59 60 61 62 67 68 69 70
71 72 76 96 97 98 99 100 101
102 103 104 105 120 121 122 123 124
125
JONES OF OHIO 8 10 36 37 38 39 40 41
42 43 44 45
KAPLAN 77 94 96 97 98 99 105 107 108
109 111 115 116 120 124
KELLY 1 5 8 10 11 14 18 21 28
29 30 31 33 36 45 47 48 50
54 58 62 67 72 74 75 76 77
80 84 87 90 94 95 96 104 105
110 116 117 118 119 120 125 128
LACKRITZ 90 118 122 123 124 126 127
LATOURETTE 11 24 27 50 51 52 53 54 55
56 57 58 66 72 73 108 109 110
111 112 113 114 115 116 125 126 127
128
NEY 45 46 47 48 49
OXLEY 6
RICHARDS 21 28 29 30 31 46 49 52 53
54 55 56 57 58 59 60 61 62
63 68 69 70 71 72 73 74 75
SIBEARS 77 84 116 117 118 119
SKOLNIK 87 119 124
SPEAKER 4
STOUT 19 38 39 40 47 48 50 51 52
54 55 56 64 65
TIBERI 11 62 63 64 65 105 106 107 108
CONTENTS SPEAKERS INSERTS
STATEMENT OF CARL FAZIO, AURORA, OHIO
PAGE 15
STATEMENT OF GOLDA LEWIS STOUT, ELGIN, ILLINOIS
PAGE 19
STATEMENT OF LORI RICHARDS, DIRECTOR, OFFICE OF COMPLIANCE, INSPECTIONS, AND EXAMINATIONS,
SECURITIES AND EXCHANGE COMMISSON
PAGE 21
STATEMENT OF DAVID DOHERTY, EXECUTIVE VICE PRESIDENT FOR ENFORCEMENT, NEW YORK STOCK EXCHANGE
PAGE 24
STATEMENT OF MARK E. KAPLAN, MANAGING DIRECTOR AND GENERAL COUNSEL, SG COWEN SECURITIES
PAGE 77
STATEMENT OF THOMAS E. HOMMEL MANAGING DIRECTOR AND CO-HEAD OF GLOBAL LITIGATION, LEHMAN BROTHERS
PAGE 80
STATEMENT OF DANIEL M. SIBEARS, SENIOR VICE PRESIDENT AND DEPUTY FOR MEMBER REGULATION, NATIONAL
ASSOCIATION OF SECURITIES DEALERS
PAGE 84
STATEMENT OF BRADLEY W. SKOLNIK, INDIANA SECURITIES COMMISSIONER AND CHAIRMAN, ENFORCEMENT
SECTION, NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION
PAGE 87
STATEMENT OF MARC E. LACKRITZ, PRESIDENT, SECURITIES INDUSTRY ASSOCIATION
PAGE 90
INSERTS SPEAKERS CONTENTS
NO INSERTS IN THIS HEARING