NASD November Disciplinary Cases
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Wall Street’s Dirty Little Secrets
Uncovered and analyzed at http://RRBDLAW.com<?:namespace prefix = o ns = "urn:schemas-microsoft-com:office:office" />
And irreverently chided at http://BrokeAndBroker.com
November 29, 2006
Nationally-known securities-industry lawyer Bill Singer analyzes this month’s regulatory docket, and offers his provocative commentary.
Did you know that you could be charged for promoting and maintaining a questionable “workplace environment”? Kenneth Lewis Sojka OS/#2005002485301)/November 2006
Sometimes it pays to let your firm take you out to the woodshed. See how NASD reduced a suspension by one-third. Dennis Russell Weddle II AWC/#20050012479-01/November 2006
Did you hear about the broker who cut out a client’s signature and pasted it onto a application? Andrew Mark Stinson AWC/#20060049044-01/November 2006
How about the other enterprising fellow who submitted a fictitious LLC certificate replete with phony state stamp? Peter J. Maldjian OS/#E9B2004028401/November 2006
Or do you prefer the story about the broker who created a fake stock certifidcate? Harold Stephen Simpson, Sr. AWC/#2006004213501/November 2006
And then there’s the story about the housekeeper who posed as a broker’s aunt.
Jody Gordon Scheiman AWC/#2005002264901/November 2006
RRBDLAW.com is a leading securities-industry legal/regulatory website. BrokeAndBroker.com is a new blog. The content is published by Bill Singer, a veteran Wall Street regulatory lawyer who represents both the industry and the public.