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He should've been fired by MS, which would've gone on his NASD record and caused him a pretty good headache in many different ways.
Looks like they let him resign voluntarily (no surprise there).
In reality, that means next to nothing. So, the guy gets off just about scot free. I'd venture a guess that his clients couldn't give a hoot either. They would if he was fired or a felony conviction was on there, since he couldn't manage their $.
What a travesty. Civil damages--whatever. He probably has mounds of umbrella liability.
Makes me sick.
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