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FINRA

2000 News Releases

   

December 15, 2000 -   NASD Regulation Sanctions Providential Securities, Inc. and Bars Principal, Henry Fahman
December 07, 2000 -   NASD Board of Governors Approves Resolution on Analyst Disclosure
December 07, 2000 -   NASD Names Howard M. Schloss Senior Vice President, Communications and Government Relations
December 06, 2000 -   The American Stock Exchange, NASD Regulation, and the New York Stock Exchange Jointly Fine Morgan Stanley & Co. Incorporated $200,000
November 29, 2000 -   NASD Regulation Sanctions Asensio & Company; Manuel Asensio, for Short Selling, Trade Reporting, and Internet Advertising Violations
November 27, 2000 -   NASD Names Sal Sodano Vice Chairman
November 22, 2000 -   NASD Regulation Fines Merrill Lynch, Pierce, Fenner & Smith, Inc. $97,000 for Limit Order, Best Execution, and Other Violations
November 20, 2000 -   NASD Regulation Charges Dean Witter Reynolds Inc. With Securities Fraud and Other Violations Related to the Marketing and Sales of Term Trusts; Two Individuals Also Charged
November 06, 2000 -   Robert R. Glauber Becomes NASD CEO and President
October 12, 2000 -   NASD Board Approves Creation of New Order Delivery System for OTC Bulletin Board
October 04, 2000 -   NASD Regulation Comments on Court-Ordered Arbitration Expungements
September 28, 2000 -   NASD Regulation Hearing Panel Expels Premier Capital Management and Fines and Suspends Firm President and Broker for Stock Touting and Fraudulent Advertising
September 27, 2000 -   NASD Dispute Resolution Kicks Off Settlement Month; Lower Mediation Prices for October
August 22, 2000 -   NASD Regulation Censures and Fines E*TRADE Securities, Inc. for Failing to Submit Short Interest Reports to NASD Regulation for 28 Months
August 22, 2000 -   NASD Dispute Resolution Names Board of Directors
August 17, 2000 -   NASD's National Adjudicatory Council Finds Traders Aided and Abetted in Market Manipulation
August 17, 2000 -   NASD Board of Governors Votes to Improve Rule Proposal on Trading in Initial Public Offerings
August 15, 2000 -   NASD Regulation Fines WMA Securities, Inc. $125,000 for Failure to Report Customer Complaints
August 15, 2000 -   NASD's National Adjudicatory Council Sanctions Former Monroe Parker Director of Trading and Director of Compliance
August 15, 2000 -   NASD Regulation Expels R.D. White & Co., Inc., Sanctions Principals for Fraud and Recovers $400,000 in Restitution for Investors
August 04, 2000 -   Seven Brokerage Firms Settle NASD Regulation Charges of Yield Burning
July 27, 2000 -   Robert R. Glauber Named CEO and President of NASD Richard G. Ketchum Named President of Nasdaq Frank G. Zarb Continues as NASD Chairman and Nasdaq Chairman and CEO during Transition Period
July 27, 2000 -   NASD Board of Governors Approves Disclosure Statement for Margin Accounts
July 21, 2000 -   NASD Regulation Charges San Clemente Securities, Execs with Fraud
July 17, 2000 -   NASD Regulation Files Action Against Day-Trading Firm for Registration and Supervisory Violations
July 17, 2000 -   NASD Launches New Dispute Resolution Subsidiary
July 17, 2000 -   NASD Regulation Charges All-Tech, Houtkin, and Others with Day Trading and Advertising Violations
June 15, 2000 -   NASD Regulation Fines First Union Securities, Inc. $350,000 and Fines and Suspends Former Executives for Books and Records and Supervisory Violations Arising from Payments to Armacon Securities, Inc.
June 13, 2000 -   NASD's Frank Zarb Presents Testimony on the NASD's Preparedness for Decimalization
June 12, 2000 -   Botta Trading Fined and Censured Following Joint Amex and CBOE Investigation
June 08, 2000 -   NASD Regulation Files Complaint Against LH Ross for Taping Rule Violation
June 06, 2000 -   NASD Regulation Fines J. P. Morgan $200,000 for Limit Order Violations
May 30, 2000 -   NASD Members Elect Seven Governors to Board
May 24, 2000 -   SEC Approves Trade and Quote Halt Authority in OTCBB Securities
May 23, 2000 -   NASD Regulation Sanctions Steven Ehlers for Trading Ahead of Research
May 16, 2000 -   NASD Regulation Fines Kemper Distributors $100,000 for Mutual Fund Advertisement Violations
May 10, 2000 -   Office of Dispute Resolution Launches the Single Arbitrator Pilot Program
May 04, 2000 -   Amex Permanently Bars Floor Booth Clerk for Improper Trading, Falsifying Clearing Records, and Making False Statements
May 02, 2000 -   NASD Regulation Censures and Fines E*TRADE Securities
April 27, 2000 -   NASD Regulation Provides Investors Increased Information Regarding Trading on Margin
April 27, 2000 -   NASD Regulation Launches New Electronic Investing Web Pages
April 14, 2000 -   NASD Restructuring Wins in Landslide Vote of the Members
April 13, 2000 -   NASD Pleased with Court Action
April 06, 2000 -   Seven Brokerage Firms Settle NASD Regulation Charges of Yield Burning
April 05, 2000 -   NASD Institute for Professional Development to Launch Phase I of Certificate Program Certificate Candidates to Begin Classes at the Wharton School
March 22, 2000 -   NASD Regulation Promotes Company Officer to Executive Vice President; Four Staff to Vice President
March 16, 2000 -   NASD Regulation Charges Global Equities Group, Inc. and Five Employees with Fraud and Stock Manipulation
March 13, 2000 -   NASD Launches Member Vote on Restructuring and Opens Subscription Period for the Initial Phase of Nasdaq Private Placement
March 09, 2000 -   NASD Fines Prudential Securities $100,000 for Seeking to Undermine Competition for IPO Underwriting Services
March 07, 2000 -   NASD Calls on the SEC to Delay Decimalization
March 02, 2000 -   NASD Regulation Issues Complaint Against Former CEO and 11 Brokers of State Capital Markets Corporation
February 28, 2000 -   NASD Regulation Expels LT Lawrence & Co., Inc., Bars Principals for Fraud, and Obtains $275,000 in Restitution for Investors
February 24, 2000 -   NASD Regulation Announces Eight Day-Trading Enforcement Actions
February 22, 2000 -   NASD Appoints Gordon F. Martin Chief Financial Officer
February 16, 2000 -   NASD Economic Advisory Board Announces Addition of Three New Members
February 15, 2000 -   1999 Settlement Month Program Doubles Mediation Cases; New Mediation Form Provided on Web Site
February 02, 2000 -   NASD Regulation Charges U.S. Rica Financial, Inc.; Firm President with Obtaining Secret Profits from Customers
January 28, 2000 -   Amex Suspends Trading Floor Employee for Conduct Found Improper by the NYSE
January 27, 2000 -   NASD Board Approves Limit Order Pilot Protection Program for the OTC Bulletin Board
January 24, 2000 -   NASD Regulation's Office of Dispute Resolution Participates in SICA's Pilot Program; Offers Parties a Non-SRO Forum for Dispute Resolution
January 24, 2000 -   NASD's National Adjudicatory Council Fines Morgan Stanley, Inc. $495,000 for Manipulation and Locked and Crossed Markets; Fines Firm Traders
January 20, 2000 -   NASD Regulation Charges Josephthal & Co., Inc. and Top Execs with Fraud and Unfair Dealing With Customers
January 19, 2000 -   NASD Launches the NASD Institute for Professional Development and Appoints Gary L. Tidwell Executive Director
January 04, 2000 -   NASD Board Unanimously Approves Major Restructuring