Court of Appeals for the Seventh Circuit June 12, 2001, 00-3897 (Kevin Lee Otto v. Securities and Exchange Commission)
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United States · · · 12-06-2001
COFFEY, Circuit Judge.
On September 15, 2000, the Securities and Exchange Commission (“SEC” or “Commission”) issued an order pursuant to the Securities Exchange Act of 1934, 15 U.S.C. § 78s(d)(l), affirming disciplinary action taken by the National Association of Securities Dealers, Inc. (“NASD”) against Kevin Otto.
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