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Academic
: Securities Law Prof BlogSEC Obtains Judgment Against Unregistered Principal of Broker-Dealer
By Securites Lawprof
Full post as published by Securities Law Prof Blog on November 14, 2008 (boomark / email).
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Faces Class Action
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to Pay $39 Million in Proposed Settlement of Stock Broker Overtime Class Action
National Association of Realtors
Settlement reached in broker listing antitrust lawsuit, pending court approval.

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Investor and Industry Perspectives on Investment Advisers and Broker-Dealers








