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Ex-Prudential Broker Settles SEC Market Timing Suit

Law360 (March 9, 2011, 10:19 PM EST) -- A former Prudential Securities Inc. stockbroker agreed to pay a $300,000 civil penalty in New York Wednesday to end a U.S. Securities and Exchange Commission suit accusing him of deceptive practices...
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Court

New York Southern

Nature of Suit

Securities/Commodities

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Date Filed

August 28, 2006

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