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.
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