RRBDLAW.com: July NASD Cases

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Aug 7, 2007 10:39 am

Folks:


I'm off to the beach for my summer vacation.  So here are the most recent NASD cases for your reading pleasure.  We're seeing some intereting "parking" cases rearing their heads again -- looks like NASD is targeting this old-time area.  There are also a number of Web Site cases involving lax supervision, and some private email problems.


Enjoy what's left of your summer.


All my best!


Bill


http://rrbdlaw.com/RegulatoryLinks/CASESOFNOTE/NASD/2007.htm

Aug 7, 2007 10:56 am

Have a great time, Bill, and thanks for all that you do for us.

Aug 21, 2007 9:45 am

Bill what did you do for vacation? Anything exciting?