TITLE

Fiserv, Raymond James to Pay NASD Over Charges of Inadequate Reporting

AUTHOR(S)
Hume, Lynn
PUB. DATE
December 2004
SOURCE
Bond Buyer;12/17/2004, Vol. 350 Issue 32032, p24
SOURCE TYPE
Trade Publication
DOC. TYPE
Article
ABSTRACT
This article reports that in the U.S., Fiserv Investor Services Inc. agreed to pay $20,000 and Raymond James Financial Services Inc. said it would pay $12,500 in separate cases to settle charges with the National Association of Securities Dealers (NASD) that they allegedly either failed to report, or inaccurately reported, municipal securities trades and that they each had inadequate supervisory procedures. The NASD announced the settlements on December 15, 2004, as part of its monthly disciplinary actions.
ACCESSION #
15417686

 

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