2 O.C. Women Among 15 Punished by NYSE
The New York Stock Exchange said Monday it has taken disciplinary action against 15 people, including two in Orange County, for violations of Big Board rules and federal securities laws.
The stock exchange permanently barred Katie Crill, a former broker from San Clemente, for allegedly misappropriating about $40,000 from four customer accounts at PaineWebber Inc. from February 1996 to April 1997 and causing inaccurate information to be placed in the firm’s records.
Crill, 53, did not admit or deny the allegations but consented to the findings.
The stock exchange barred Van Ngoc Giang of Midway City, a former nonregistered employee with Salomon Smith Barney Inc., for 11 years after a stock exchange panel found that she failed to disclose two criminal convictions on an employment application.
Giang, 21, did not submit any answer to the charges nor did she or anyone on her behalf appear at an NYSE hearing.
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