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: Securities Law Prof Blog

FINRA Bans Former Compliance Officer for Cheating Customers

By Securites Lawprof

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FINRA announced today that it has permanently barred Tod Bretton, former Chief Compliance Officer and Head Trader for Prestige Financial, Inc., of New York, for engaging in a fraudulent trading scheme that generated approximately $1.3 million in profits for him...

Full post as published by Securities Law Prof Blog on April 29, 2010 (boomark / email).

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