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SEC Overturns NASD Disciplinary Action
The Securities and Exchange Commission has reversed an NASD disciplinary action against two traders alleged to have engaged in private security transactions without prior written permission from their firm. The NASD had fined and temporarily barred James Browne and Kevin Calandro, former PaineWebber representatives, for allegedly violating Rule 3040 by receiving compensation for steering investors to buy stock in e2 Communications, formerly known as e2 Software. The NASD ...
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