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: Securities Law Prof Blog

SEC Bars Father and Son from Industry for Insider Trading

By Securites Lawprof

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The SEC barred Elliot Joel Smith (E. Smith), of New York City, and his son, Gregg Ashley Smith (G. Smith), from associating with any broker-dealer because of alleged insider-trading. E. Smith was employed as the Managing Director of Broadband Capital...

Full post as published by Securities Law Prof Blog on January 11, 2008 (boomark / email).

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