Smith Barney Investigated By NYSE, Sources Say

Published Friday, March 15, 2002

The New York Stock Exchange is investigating the way in which brokers at Salomon Smith Barney handled accounts of WorldCom employees who held stock options, say two attorneys who are familiar with the investigation. The news comes after the filing of a suit by two former brokers in its Atlanta office, Phil Spartis and Amy Elias, who were fired after Smith Barney received more than two dozen complaints, amounting to more than $35 million, from current and former WorldCom employees who held accounts at Smith Barney. Registered Rep. broke the story in its March issue. Culver Halliday, attorney ...

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