Correction

In The Glitch (January 2007), it was reported that NASD had not corrected the CRD record of former Piper Jaffray broker trainee Mark Schley after the regulator announced that it had wrongly flunked him on the Series 7 exam. Wisconsin securities regulators have since confirmed that his record was amended in January 2006 to reflect a passing grade. We regret the error.

Mar 01, 2007

In “The Glitch” (January 2007), it was reported that NASD had not corrected the CRD record of former Piper Jaffray broker trainee Mark Schley after the regulator announced that it had wrongly flunked him on the Series 7 exam. Wisconsin securities regulators have since confirmed that his record was amended in January 2006 to reflect a passing grade. We regret the error.

Comments

Plain text