Disciplinary and Other NASD Actions

December 1996

Executive Summary

NASD Regulation, Inc. (NASD Regulation) has taken disciplinary actions against the following firms and individuals for violations of NASD® Rules; securities laws, rules, and regulations; and the rules of the Municipal Securities Rulemaking Board. Unless otherwise indicated, suspensions will begin with the opening of business on Monday, December 16, 1996. The information relating to matters contained in this Notice is current as of the end of November. Information received subsequent to the end of November is not reflected in this edition.

 

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