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Academic

: Securities Law Prof Blog

SEC Upholds in part NASD Disciplinary Proceedings Against Principals of Brokerage Firm

By Securites Lawprof

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The SEC sustained in part and set aside in part NASD disciplinary action against Dennis Todd Lloyd Gordon, the chief executive officer of former NASD member firm Lloyd Scott and Valenti, Ltd. ("LSVL" or the "Firm"), and Sterling Scott Lee,...

Full post as published by Securities Law Prof Blog on April 14, 2008 (boomark / email).

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