Ordered that the order is affirmed insofar as appealed and cross-appealed from, without costs or disbursements.
The defendant Prudential Securities Incorporated (hereinafter Prudential) was at all relevant times a member of the National Association of Securities Dealers (hereinafter NASD) and the plaintiff and the individual defendant, Thomas F. Kennedy, Jr., were employees of Prudential and registered representatives with the NASD associated with Prudential. Upon...
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