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: Securities Law Prof Blog

SEC Remands NYSE Disciplinary Action for Reconsideration of Sanctions

By Securites Lawprof

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The SEC sustained the NYSE's findings that James Gerard O'Callaghan, an NYSE member and independent floor broker, violated Section 11(a) and Rule 11a-1 of the Securities Exchange Act of 1934 and NYSE Rules 90, 95, and 476 by executing trades... read more

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Full post as published by Securities Law Prof Blog on May 20, 2008 (boomark / email).

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