11.   James F. Higgins, who runs the brokerage unit, is a jovial and popular former stock broker.

12.   Neither the former broker nor his attorney could be reached for comment.

13.   One of the more notable broker fraud cases in the Bay Area in recent years involved a former broker in the Hayward branch of Dean Witter.

14.   Or that Spratt is a former stock broker fired by both his previous Wall Street employers.

15.   The administrative proceeding, a method employed by the SEC to discipline members of the securities industry, also names former brokers Greg Bowen and James Winter.

16.   The former broker -- by his count -- already had pursued seven cases against Olde by the time the firm sued him.

17.   The indictments follow guilty pleas from four other former Duke brokers that came last month.

18.   The physician, F. Clark Gardner, alleged that the four executives failed to ensure proper sales practices by former Stratton broker Samuel Weber.

19.   Three former stock brokers involved in the sale of micro-cap stocks testified at the hearing today wearing black masks to protect their identities.

20.   Three former brokers have admitted securities fraud.