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Brokerage Firm LT Lawrence Barred From Industry
The New York brokerage firm and two of its top officials agreed to be barred from the securities industry.
The NASDR had brought charges against the firm and the individuals for defrauding customers in 1996 through excessive mark-ups and mark-downs on prices of securities that they sold to and bought from investors.
Source: Bureau of National Affairs, March 8, 2000
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Sponsored by James J. Eccleston, an attorney representing stockbrokers, financial planners and
investors nationwide in arbitration, litigation and regulatory matters, and a shareholder with the law firm
Shaheen, Novoselsky, Staat, Filipowski & Eccleston
P.C.(www.snsfe-law.com). This Web site contains material
of general interest. It is neither intended to, nor constitutes, either legal advice or investment advice.
Always consult an attorney and/or investment advisor when building and protecting your wealth.
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