Disciplinary and Other NASD Actions

July 2000

NASD Regulation, Inc. (NASD RegulationSM) has taken disciplinaryvactions against the following firms and individuals for violations of National Association of Securities Dealers, Inc. (NASD®) rules; federal securities laws, rules, and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB). The information relating to matters contained in this Notice is current as of June 23, 2000.


View Disciplinary Actions (PDF 106 KB)