RRBDLAW.COM: New NASD Cases

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Apr 12, 2006 10:37 am

Seems that there are a number of growing enforcement trends at NASD for 2006.  In particular, the regulator seems to be focusing on improper escrow accounts for contingent offerings, borrowing from customers by brokers, and the submission of fraudulent expense reports for reimbursement.  Read about some of these matters at:


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