Skip navigation July NASD Cases

or Register to post new content in the forum



  • Allowed HTML tags: <em> <strong> <blockquote> <br> <p>

Plain text

  • No HTML tags allowed.
  • Web page addresses and e-mail addresses turn into links automatically.
  • Lines and paragraphs break automatically.
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!


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?