A Chilling Effect On Brokers' Lawyers

Friedlander, Josh
October 2004
Investment Dealers' Digest;10/18/2004, Vol. 70 Issue 40, p15
Trade Publication
Focuses on the agreement of the U.S. Securities and Exchange Commission to reconsider a ruling issued against retail broker James Glaza on alleged attorney misrepresentation. Absence of exemption from registration; Stipulations of facts in the case; Possibility of disbarment of the attorney.


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