Spain, J.
In February 1994, claimant went to work with the employer, a banking and brokerage firm, as a cashier/wire service operator. This position included the responsibilities of handling millions of dollars in transactions on an almost daily basis. The employer is regulated by the US Securities and Exchange Commission (hereinafter SEC) and the National Association of Securities Dealers (hereinafter NASD).
Prior to being hired, claimant completed an employment...
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