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
What people are saying - Write a review
We haven't found any reviews in the usual places.
Doherty David Executive Vice President for Enforcement New York Stock
Kaplan Mark E Managing Director and General Counsel SG Cowen Securi
2 other sections not shown
Other editions - View all
account statements activity agreements alleged arbitration assets branch office managers broker broker-dealers brokerage firms Chairman KELLY claims Cleveland branch clients Commission Compliance Department conduct Cowen & Company Cowen and Company Cowen and Lehman Cowen Securities Cuneo customer accounts customer complaints DeGrandis detect disciplinary DOHERTY employees ensure exam examination Fazio federal securities laws Financial Services firm's Frank Gruttadauria fraud funds going Hambrecht & Quist hearing HOMMEL investment issues JONES OF OHIO KAPLAN LACKRITZ LATOURETTE Lehman Bros Lehman Brothers Lopardo Madam Chairwoman markets member firms million misappropriated NASD NYSE Oversight and Investigations panel Plaintiffs post office boxes promissory estoppel purchase questions record registered representatives regulatory Report responsibility RICHARDS rules S.G. Cowen sales practice securities industry securities regulators SG Cowen Sibears SROs staff Stephanie Tubbs Jones Stout supervision testimony Thank TIBERI trading transactions violations York Stock Exchange Zandford