NASD fines, censures N.J. dealer for G-37, registration violations

Hume, Lynn
April 1999
Bond Buyer;04/16/99, Vol. 328 Issue 30621, p5
Trade Publication
Informs that the National Association of Securities Dealers has censured and fined Clementon, New Jersey-based Sturdivant & Co. and two of its top officials. Company's failure to meet registration requirements and file timely G-37 forms over a three-year period; Reactions of president, chief executive officer and co-founder Albert A. Sturdivant.


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