NASD censures, fines Hattier Sanford over confirmation failures

Hume, Lynn
May 1999
Bond Buyer;05/18/99, Vol. 328 Issue 30643, p6
Trade Publication
Reports on the fines and censure received by Hattier, Sanford & Reynoir and partner Gus Reynoir from the United States National Association of Securities Dealers for failure to disclose key information on confirmation statements. Alleged violations of the Municipal Securities Rulemaking Board's Rule G-15 on confirmation, clearance and settlement of municipal securities transactions.


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