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SEC Wants Sanctions After Call Recordings Thrown Away

Law360 (February 13, 2018, 8:01 PM EST) -- The U.S. Securities and Exchange Commission has asked a New York federal court to sanction a former broker and his attorney over the alleged destruction of call recordings that the broker was supposed to turn over to the agency for use in its suit accusing him of ripping off customers with excessive trading in their accounts.

The SEC said Friday that Gregory T. Dean, a former employee at the now-defunct Long Island brokerage firm J.D. Nicholas & Associates Inc., found a device last year containing recordings...
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Case Information

Case Title

Securities and Exchange Commission v. Dean et al


Case Number

1:17-cv-00139

Court

New York Southern

Nature of Suit

Securities/Commodities

Judge

Gregory H. Woods

Date Filed

January 9, 2017

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