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Securities, Inc. (MKI) as an upstairs trader for listed securi-
ties and received W-2 wages that were based on a percentage of
the profits that he generated for that firm. Mr. Gordon depos-
ited $25,000 with MKI as security, $11,000 of which was retained
by MKI to cover the losses that Mr. Gordon incurred when he
traded for that firm.
During 1989, Mr. Gordon was employed by First New York
Securities as an upstairs trader.
Throughout the period that commenced sometime in 1990 until
sometime in early 1991, Mr. Gordon was employed by Schoenfeld
Securities (Schoenfeld) as an upstairs trader and received W-2
wages that were based on a percentage of the profits that he
generated for that firm. Mr. Gordon deposited an undisclosed
amount with Schoenfeld as security, $47,000 of which was retained
by that firm to cover the losses that Mr. Gordon incurred when he
traded for that firm.
During 1992, Mr. Gordon was employed as an account executive
by Merrill Lynch in Palm Beach, Florida.
Throughout the period that commenced sometime in 1993 until
at least the date of the trial herein, Mr. Gordon was again
employed by Schoenfeld as an upstairs trader and was compensated
in the same manner as he had been when he worked there during
1990 and 1991.
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