Barksdale Suspended, Fines for G-37 Violation

Hume, Lynn
June 2004
Bond Buyer;6/17/2004, Vol. 348 Issue 31907, p4
Trade Publication
Reports that Alan W. Barksdale, a former municipal finance professional at Stephens Inc., has been fined and suspended from the bond industry for encouraging a bond lawyer to make political contributions to Alexandria, Louisiana. Investigation the case; Violation of the Municipal Securities Rulemaking Board's Rule G-37 on political contributions; Prohibition of broker-dealers from making political contributions to issuer officials.


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