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Academic

: Securities Law Prof Blog

Broker Settles Market-Timing Charges

By Securites Lawprof

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On July 11, the SEC issued a settled order (Order) against Dogan Baruh (Baruh) in a previously instituted administrative proceeding. The Order finds that Baruh, a former registered representative (RR) at CIBC World Markets Corp. (CIBC) and Fahnestock & Co.,...

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

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