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: Securities Law Prof Blog

ALJ Finds Broker Involved in Late Trading Scheme

By Securites Lawprof

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An Administrative Law Judge has issued an Initial Decision in Pritchard Capital Partners, LLP, Administrative Proceeding No. 3-12753 and found that Respondent Joseph John VanCook (VanCook), while associated with the broker-dealer Pritchard Capital Partners, LLP (Pritchard Capital), engaged in a...

Full post as published by Securities Law Prof Blog on July 10, 2008 (boomark / email).

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