Whodunit? Two Stockbrokers Murdered in Jersey; No Clues Message Board

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Pastimes : Whodunit? Two Stockbrokers Murdered in Jersey; No Clues

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To: Arcane Lore who wrote (1061)	12/18/2003 10:46:45 AM
From: Arcane Lore	Read Replies (1) of 1156

From yesterday's SEC Digest: COMMISSION SANCTIONS STUART WINKLER The Commission has assessed a civil money penalty of $800,000 against Stuart E. Winkler of Dannemora, New York. Winkler was chief financial and compliance officer and supervisor of operations at A.S. Goldmen & Co., Inc., formerly a registered broker-dealer. Since Winkler appealed the initial decision of an administrative law judge only with respect to the penalty that the law judge assessed, the Commission made the remainder of the law judge's decision as to him final. Thus the law judge's order barring Winkler from association with any broker or dealer and issuing a cease-and-desist order against Winkler was declared effective. Winkler was convicted in New York of the crime of enterprise corruption. He admittedly engaged in a wide variety of illegal practices including manipulation, lying to customers and regulators, and falsifying and destroying records. The Commission stated that the $800,000 penalty imposed by the law judge was warranted since Winkler's egregious misconduct far outweighed any mitigative factors. (Rels. 33-8348; 34- 48940; File No. 3-9933) sec.gov

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