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Company: National Association of Securities Dealers

131 results found

Firm failed to adequately supervise broker’s communications with his union-sponsored retirement plan clients

Firms fined over US$1.2 million

  • By: IE Staff
  • June 28, 2007 June 28, 2007
  • 12:40

Regulator also suspends former director of research; Files complaint against analyst

Regulator also orders firm to identify and pay restitution to 1,300 customers

Orders US$12.2 million in restitution to over 200 customers

  • By: IE Staff
  • June 6, 2007 June 6, 2007
  • 15:45

Firm routed orders for government securities transactions internally for over a year without adequate controls in place

  • By: IE Staff
  • May 29, 2007 May 29, 2007
  • 10:10

The National Association of Securities Dealers today announced that it has fined two Fidelity broker-dealers US$400,000 for preparing and distributing misleading sales literature promoting their systematic investment plans, which were sold primarily to U.S. military personnel. Issuance and sales of new systematic investment plans (also known as periodic payment plans), which typically require investors to […]

Klaus Offenbacher and Bruce Kaminski artificially increased the market price of a stock

Most of the companies being peddled are not even incorporated in China

Alert outlines various types of market risk