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Ex-Brokers Slam SEC Bid For Early Win In Trade Fee Fight

Law360 (March 6, 2018, 9:55 PM EST) -- Two former brokers facing U.S. Securities and Exchange Commission claims that they ripped off investors with excessive trading fees and reckless investments have urged a New York federal judge not to grant the agency an early win, saying the SEC’s evidence against them is subject to interpretation.

Gregory T. Dean and Donald J. Fowler, who previously worked for the now-defunct Long Island brokerage firm J.D. Nicholas & Associates Inc., argued in an opposition brief Friday that the SEC has taken a selective interpretation of their customers’...
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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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