Illegal Activity
suspicious
Blackmail
none
Date
11/14/2014
Document Type
report
Model
gemini-2.0-flash-001
Processed
2026-02-07T18:43
Summary
This document is a World Check details report listing individuals and entities. It includes information about Joann DELPIZZO MILLER's violation of NYSE Arca Equities Rule and potential barring from membership for failing to provide testimony as requested by FINRA.
Metadata
- Subject
- World Check Details
- Sender
- —
- Recipients
- —
- Document ID
- DB-SDNY-0044346, SDNY_GM_00190530
- Date
- 11/14/2014
Illegal Activity
- Severity
- suspicious
- Description
- Joann DELPIZZO MILLER's failure to provide testimony as requested by FINRA could be considered obstruction.
- Content Type
- first_hand
Evidence:
- Failure to provide testimony as requested by FINRA
Relationships 3
| Entity 1 | Relationship | Entity 2 | Description |
|---|---|---|---|
| PennMont Securities | business | Joann DELPIZZO MILLER | Limited partner with PennMont Securities |
| NYSE Arca | legal | Business Conduct Committee | Business Conduct Committee found violation of NYSE Arca Equities Rule |
| FINRA | regulatory | NYSE Arca | Failure to provide testimony as requested by FINRA |
Notable Quotes 2
Jan 2O12 -found by the Business Conduct Committee to be in violation of NYSE Arca Equities Rule by failing to provide testimony as requested by FINRA.
Apr 2012 - to be permanently barred from NYSE Arca membership unless testimony is provided within required time frame.
Red Flags 1
- Joann DELPIZZO MILLER's violation of NYSE Arca Equities Rule and potential barring from membership.
Legal Compliance
- Joann DELPIZZO MILLER was found by the Business Conduct Committee to be in violation of NYSE Arca Equities Rule by failing to provide testimony as requested by FINRA.
- Joann DELPIZZO MILLER was to be permanently barred from NYSE Arca membership unless testimony is provided within required time frame.
Raw Analysis JSON
click to expand
Themes
Legal matters/litigationFinancial transactions/money flowBusiness dealings
People 15
Organizations 5
Norkom Technologies Ltd.PennMont SecuritiesFINRANYSE ArcaBusiness Conduct Committee
Text Analysis
- Tone
- Informative
- Purpose
- To provide details from World Check on individuals and entities.
- Significance
- The document provides information on individuals and entities, including a violation of NYSE Arca Equities Rule by Joann DELPIZZO MILLER.
File Info
- File Name
- EFTA01357670.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:43:49.366360
- DOJ Source
- View on DOJ