Disciplinary and Other NASD Actions

June 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; federal securities laws, rules, and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB). This information is current as of May 22, 2000.


View Disciplinary Actions (PDF 70 KB)