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Spectrum Securities Inc

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BUSINESS
October 3, 1995
A former Westlake Village securities broker has been sanctioned by the National Assn. of Securities Dealers for alleged violations of Securities and Exchange Commission rules. Lawrence R. Klein, a Woodland Hills resident and former employee of Spectrum Securities Inc. in Westlake Village, was censured and suspended from association with any NASD member for five years.
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BUSINESS
October 3, 1995
A former Westlake Village securities broker has been sanctioned by the National Assn. of Securities Dealers for alleged violations of Securities and Exchange Commission rules. Lawrence R. Klein, a Woodland Hills resident and former employee of Spectrum Securities Inc. in Westlake Village, was censured and suspended from association with any NASD member for five years.
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BUSINESS
November 30, 1993
The Gaming Group Inc., a Westlake Village company that began operations a year ago, hopes to net between $2.8 million and $6.2 million in an initial public stock offering. The company said in a filing with the Securities and Exchange Commission that it would sell more than 2 million shares of common stock for up to $5 each through its underwriter, Spectrum Securities Inc. Gaming Group said that, since its start-up, it has had only limited sales of gaming products.
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