SYKES, Circuit Judge.
A jury convicted James Frith, Jr. of two securities law violations (out of twentythree charges) for operating his registered broker-dealership without enough money in its reserve accounts. His convictions, the result of financial shortfalls on a single day in 1997, were the culmination of a broader, seventeen-month charade during which Frith manipulated millions of dollars on his firm's books and filed false reports with regulators to conceal...
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