RRBDLAW.com: July NASD Cases
Aug 7, 2007 2:39 pm
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 2:56 pm
Have a great time, Bill, and thanks for all that you do for us.
Aug 21, 2007 1:45 pm
Bill what did you do for vacation? Anything exciting?
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