Disciplinary and Other NASD Actions
September 1997
NASD Regulation, Inc. (NASD RegulationSM) 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. Unless otherwise indicated, suspensions will begin with the opening of business on Monday, September 15, 1997. The information relating to matters contained in this Notice is current as of the end of August 22. Information received subsequent to the end of August 22 is not reflected in this edition.
The views, expressions, findings and opinions expressed in the comments on this Web page are solely those of the author(s) and FINRA accepts no responsibility for the content of the comments.
| Comments By |
Date Received |
