NASD Fines 4 for Muni, Non-Muni Violations

Hume, Lynn
January 2006
Bond Buyer;1/19/2006, Vol. 355 Issue 32301, p1
Trade Publication
The article reports that National Association of Securities Dealers has fined four companies for municipal bonds and non-municipal bonds related violations in the U.S. Bergen Capital Inc. has been penalized for misleading advertisements and sales literature promoting municipal bonds. Goldman Sachs Execution & Clearing LP has been punished for municipal trade reporting failures.


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