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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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 disctosures Doherty employees ensure exam Examination Report Exchange Rule Fazio federal securities laws Financial Services firm's Frank Gruttadauria fraud funds Hambrecht & Quist hearing Hommel investment issues Jones of Ohio Kaplan Lackritz LaTourette Lehman Brothers Lehman Brothers Inc Lopardo Madam Chairwoman markets member firms member organization million misappropriated NASD NYSE order tickets Oversight and Investigations panel 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