Disciplinary and Other NASD Actions
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; federal securities 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, January 18, 2000. The information relating to matters contained in this Notice is current as of the end of December 29, 1999.
View Disciplinary Actions (PDF 104 KB)