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maintain large trading and investment positions. Nevertheless,
he consulted closely with Mr. Wechsler while performing those
trading and investment activities. He became petitioner’s vice
president in 1988 and became a member of petitioner’s board in
1992.
Mr. Mittentag
Mr. Mittentag began working for petitioner in the 1960s as a
back office clerk. He became an assistant cashier for petitioner
and later its cashier. He became petitioner’s chief financial
officer in October 1998. He is registered with the NASD as a
FINOP.
Mr. Lobel
Mr. Lobel began working for petitioner in 1987 as a clerk/
trainee. He became a senior trader and then a trader/analyst.
He had limited discretion to trade and make investments for
petitioner. He also made recommendations as to investments to
Mr. Wechsler and recommendations as to trading to Mr. Wechsler
and Mr. Solomon. He became a FINOP in June 1997. He resigned
from petitioner on August 24, 1998.
Gilbert
During petitioner’s 1992 and 1993 fiscal years, Gilbert
worked as a lighting designer at the Metropolitan Opera. He had
been a lighting designer there for 19 years. He did not spend
time in petitioner’s office every day. Petitioner did not
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