Disciplinary and Other NASD Actions

May 1997

NASD Regulation, Inc. (NASD RegulationSM) has taken disciplinary actions against the following firms and individuals for violations of NASD® rules; federal 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, May 19, 1997. The information relating to matters contained in this Notice is current as of April 24, 1997. Information received subsequent to April 24 is not reflected in this edition.

 

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