NASD bars and fines adviser for not cooperating in probe

Hume, Lynn Stevens
December 1997
Bond Buyer;12/23/97, Vol. 322 Issue 30298, p1
Trade Publication
States that the National Association of Securities Dealers (NASD) has barred and fined former financial adviser Nicholas A. Rudi for failing to cooperate with an investigation of whether dealers paid his firm to get municipal underwriting business in the early 1990s. Details on the investigation; Views of Jacob Zamansky, a lawyer with Singer Zamansky in New York, regarding the actions of the NASD.


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