One broker gone bad: punishing the criminal, making victims whole : hearing before the Subcommittee on Oversight and Investigations of the Committee on Financial Services, U.S. House of Representatives, One Hundred Seventh Congress, second session, May 23, 2002, Volume 4
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Doherty David Executive Vice President for Enforcement New York Stock
Kaplan Mark E Managing Director and General Counsel SG Cowen Securi
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1gg4 Examination Report account statements activity agreements alleged arbitration assets branch office managers broker broker-dealers brokerage firms bunched order Chairman Kelly claims Cleveland branch clients Commission Compliance Department conduct Cowen & Company Cowen and Lehman customer accounts DeGrandis detect discretionary accounts Doherty employees ensure exam Exchange Rule Fazio federal securities laws Financial Services firm's Frank Gruttadauria fraud funds Hambrecht & Quist hearing Hommel investment Jones of Ohio Kaplan Lackritz LaTourette Lehman Brothers Lopardo Madam Chairwoman margin requirements markets member firms member organization million misappropriated NASD NYSE order tickets Oversight and Investigations panel person Plaintiffs post office boxes promissory estoppel purchase questions record registered representatives regulatory responsibility retail brokerage Richards S.G. Cowen sales practice securities industry securities regulators SG Cowen Sibears SROs Stephanie Tubbs Jones Stout supervision testimony Thank Tiberi trading transactions violations York Stock Exchange Zandford