NASD November Disciplinary Cases

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Nov 29, 2006 10:17 am

Wall Street’s Dirty Little Secrets
  Uncovered and analyzed at http://RRBDLAW.com<?:namespace prefix = o ns = "urn:schemas-microsoft-com:office:office" />

And irreverently chided at http://BrokeAndBroker.com

 

November 29, 2006

 

Nationally-known securities-industry lawyer Bill Singer analyzes this month’s regulatory docket, and offers his provocative commentary. 

 

http://rrbdlaw.com/RegulatoryLinks/CASESOFNOTE/NASD/2006.htm

 

Did you know that you could be charged for promoting and maintaining a questionable “workplace environment”?  Kenneth Lewis Sojka OS/#2005002485301)/November 2006

 

Sometimes it pays to let your firm take you out to the woodshed.  See how NASD reduced a suspension by one-third. Dennis Russell Weddle II AWC/#20050012479-01/November 2006

 

 

Did you hear about the broker who cut out a client’s signature and pasted it onto a application? Andrew Mark Stinson AWC/#20060049044-01/November 2006

 

How about the other enterprising fellow who submitted a fictitious LLC certificate replete with phony state stamp? Peter J. Maldjian OS/#E9B2004028401/November 2006

 

 Or do you prefer the story about the broker who created a fake stock certifidcate? Harold Stephen Simpson, Sr. AWC/#2006004213501/November 2006

 

And then there’s the story about the housekeeper who posed as a broker’s aunt.

Jody Gordon Scheiman AWC/#2005002264901/November 2006

 

http://rrbdlaw.com/RegulatoryLinks/CASESOFNOTE/NASD/2006.htm

 

RRBDLAW.com is a leading securities-industry legal/regulatory website.  BrokeAndBroker.com is a new blog. The content is published by Bill Singer, a veteran Wall Street regulatory lawyer who represents both the industry and the public. 

CONTACT INFORMATION:
Bill Singer
[email protected]

917-520-2836

http://www.rrbdlaw.com

http://www.BrokeAndBroker.com