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The Securities and Exchange Commission has received an award of only $1 from a convicted securities broker who profited from sneak peeks at BusinessWeek 's "Inside Wall Street" column. A federal judge in New York ruled that since prosecutors had "already made an example" of defendant Joseph T. Falcone by obtaining an insider-trading conviction, the judge had no basis to reward the SEC for "spending tens of thousands of taxpayer dollars" in pursuing civil penalties.
August 22, 2003 at 12:00 AM
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The original version of this story was published on Law.Com
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