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NYSE Bars Ex-Lehman Brothers Broker Gruttadauria
The NYSE has expelled Frank Gruttadauria, the notorious Lehman Brothers / SG Cowen Securities broker who misappropriated client funds.
The NYSE, as well as the SEC, is investigating how Gruttadauria was able to escape effective supervision by Lehman. It is a fact that Lehman allowed Gruttadauria to act not only as a stockbroker but also as the branch office manager overseeing himself.
Source: Wall Street Journal, April 25, 2002
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