sec deficiency letter to stanford group company 2005

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This is a deficiency letter sent from the SEC to Stanford Group Company in 2005 after the SEC took a year to examine the brokerage firm. This was the agency's fourth exam of SGC in 8 years which found numerous compliance issues.

TRANSCRIPT

Page 1: SEC Deficiency Letter to Stanford Group Company 2005

199

Case 3:09-cv-00724-N Document 393 Filed 04/19/10 Page 215 of 291 PageID 3732

Page 2: SEC Deficiency Letter to Stanford Group Company 2005

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Case 3:09-cv-00724-N Document 393 Filed 04/19/10 Page 216 of 291 PageID 3733

Page 3: SEC Deficiency Letter to Stanford Group Company 2005

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Case 3:09-cv-00724-N Document 393 Filed 04/19/10 Page 217 of 291 PageID 3734

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Case 3:09-cv-00724-N Document 393 Filed 04/19/10 Page 218 of 291 PageID 3735

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Case 3:09-cv-00724-N Document 393 Filed 04/19/10 Page 219 of 291 PageID 3736

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Case 3:09-cv-00724-N Document 393 Filed 04/19/10 Page 220 of 291 PageID 3737

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Case 3:09-cv-00724-N Document 393 Filed 04/19/10 Page 221 of 291 PageID 3738

Page 8: SEC Deficiency Letter to Stanford Group Company 2005

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Case 3:09-cv-00724-N Document 393 Filed 04/19/10 Page 222 of 291 PageID 3739

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