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McCarthy v. SEC: Broker Suspension Case by Scribd Government Docs is a document available to read on EtoBox.

This document summarizes a court case regarding Edward John McCarthy, a floor broker, who was charged by the Securities and Exchange Commission (SEC) with various violations of securities laws and exchange rules related to his trading activities for Oakford Corporation. The New York Stock Exchange hearing panel found McCarthy guilty only of record keeping violations, but not of other more serious charges. The SEC upheld all charges against McCarthy. The court denied McCarthy

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Scribd Government Docs

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EN