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: Securities Law Prof Blog

Former JPMorgan RR's Disclosure Violated "Just and Equitable Principles" Rule

By Securites Lawprof

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In In re Thomas W. Heath, III, the SEC affirmed a NYSE disciplinary proceeding that found that a former registered representative of JPMorgan Securities disclosed material nonpublic information regarding the pending acquisition of a JPMorgan client to his future employer....

Full post as published by Securities Law Prof Blog on January 09, 2009 (boomark / email).

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