NASD Sanctions Firms for Markups, Lapses

Hume, Lynn
November 2003
Bond Buyer;11/24/2003, Vol. 346 Issue 31768, p4
Trade Publication
Reports on the fines and restitution imposed against EDI Financial Inc. and O'Brien & Shepard Inc. by the National Association of Securities Dealers (NASD) in the U.S. Reason for the issuance of the penalty; Response of the firms to NASD's allegations; Amount of the fines imposed on each firm.


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