RRBDLAW.com: July NASD Cases
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Aug 7, 2007 2:39 pm
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!