Disciplinary and Other NASD Actions

January 1997

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 Tuesday, February 18, 1997. The information relating to matters contained in this Notice is current as of January 24, 1997. Information received subsequent to January 24 is not reflected in this edition.

 

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