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: Securities Law Prof Blog

SEC Sets Aside NASD Findings & Sanctions as to Two Brokers

By Securites Lawprof

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The SEC set aside NASD's findings of violation and sanctions against registered representatives James Wade Browne and Kevin Calandro. NASD had previously found that Browne and Calandro violated NASD Conduct Rules 3040 and 2110 by engaging in private securities transactions...

Full post as published by Securities Law Prof Blog on November 10, 2008 (boomark / email).

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