Proceeding Number 2007007792902

Extended Hearing Panel Decision in Department of Enforcement v. Edward S. Brokaw

June 11, 2010

For engaging in market manipulation, in violation of Section 10(b) of the Securities Exchange Act of 1934, Rule 10b-5 thereunder, and NASD Rules 2120 and 2110, Respondent is barred in all capacities.   In light of the bar, no further sanctions are imposed for Respondent's failure to ensure the accuracy of order tickets, in violation of Rules 3110 and 2110.

 

This decision has been appealed.

View Decision (PDF 117 KB)