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: Securities Law Prof Blog

Unregistered Day-Trading Firm Enjoined

By Securites Lawprof

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On March 17, 2008, a federal court permanently enjoined Tuco Trading, LLC, an unregistered securities day-trading firm in La Jolla, California, and its principal, Douglas G. Frederick, from future violations of the broker-dealer registration and antifraud provisions of the federal...

Full post as published by Securities Law Prof Blog on March 18, 2008 (boomark / email).

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