Disciplinary and Other NASD Actions

September 2002

NASD® 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 (MSRB). The information relating to matters contained in this Notice is current as of the end of August 2002. This information was updated in August 2003 to ensure the accurate identification of firms expelled for failure to pay fines and/or costs in accordance with NASD Rule 8320.

 

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