New NASD Cases: One for the ages!
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The November NASD enforcement cases include some very interesting matters. Among my favorite --- in fact, among one of my all-time favorites --- is the Levardsen matter, in which an individual got a failing 45 on his Series 7 and then changed that failing grade to a 65. Of course, the 65 is also a failing grade. And even more amazing, he submitted the altered "65" test report to his firm!!! Yup, they fined and suspended him.
For this and other interesting cases, visit
http://rrbdlaw.com/RegulatoryLinks/CASESOFNOTE/NASD/2005.htm
By the way, happy and healthy Thanksgiving to all my online buddies!
[quote=rrbdlawyer]
The November NASD enforcement cases include some very interesting matters. Among my favorite --- in fact, among one of my all-time favorites --- is the Levardsen matter, in which an individual got a failing 45 on his Series 7 and then changed that failing grade to a 65. Of course, the 65 is also a failing grade. And even more amazing, he submitted the altered "65" test report to his firm!!! Yup, they fined and suspended him.
For this and other interesting cases, visit
http://rrbdlaw.com/RegulatoryLinks/CASESOFNOTE/NASD/2005.htm
By the way, happy and healthy Thanksgiving to all my online buddies!
[/quote]
I'd love to know what firm hired this genius.... and Happy Thanksgiving to all as well