New NASD Cases: One for the ages!

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Nov 21, 2005 10:20 am

The November NASD enforcement cases include some very interesting matters.  Among my favorite --- in fact, among one of my all-time favorites --- is the Levardsen matter, in which an individual got a failing 45 on his Series 7 and then changed that failing grade to a 65.  Of course, the 65 is also a failing grade.  And even more amazing, he submitted the altered "65" test report to his firm!!!  Yup, they fined and suspended him.


For this and other interesting cases, visit


http://rrbdlaw.com/RegulatoryLinks/CASESOFNOTE/NASD/2005.htm


By the way, happy and healthy Thanksgiving to all my online buddies!

Nov 21, 2005 4:28 pm
rrbdlawyer:

The November NASD enforcement cases include some very interesting matters.  Among my favorite --- in fact, among one of my all-time favorites --- is the Levardsen matter, in which an individual got a failing 45 on his Series 7 and then changed that failing grade to a 65.  Of course, the 65 is also a failing grade.  And even more amazing, he submitted the altered "65" test report to his firm!!!  Yup, they fined and suspended him.


For this and other interesting cases, visit


http://rrbdlaw.com/RegulatoryLinks/CASESOFNOTE/NASD/2005.htm


By the way, happy and healthy Thanksgiving to all my online buddies!




I'd love to know what firm hired this genius.... and Happy Thanksgiving to all as well