Disciplinary and Other NASD Actions

February 2000

NASD Regulation, Inc. (NASD RegulationSM) has taken disciplinary actions against the following firms and individuals for violations of National Association of Securities Dealers, Inc. (NASD®) rules; federalsecurities laws, rules, and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB). Unless otherwise indicated, suspensions will begin with the opening of business on Tuesday, February 22, 2000. The information relating to matters contained in this Notice is current as of the end of January 28, 2000.

 

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