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: Securities Law Prof Blog

SEC Sustains NASD Disciplinary Action for Failure to Respond to NASD Requests for Information

By Securites Lawprof

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The SEC sustained NASD disciplinary action against CMG Institutional Trading, LLC, a former NASD member firm, and Shawn D. Baldwin, the firm's president and chief executive officer. The Commission also sustained NASD's imposition of two-year suspensions on CMG and Baldwin...

Full post as published by Securities Law Prof Blog on January 30, 2009 (boomark / email).

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