NASD Fines Berean, Top Official for G-37 Lapses

Hume, Lynn; Shields, Yvette
February 2006
Bond Buyer;2/1/2006, Vol. 355 Issue 32310, p4
Trade Publication
The article reports that the National Association of Securities Dealers has censured and imposed a fine on Berean Capital Inc., a part of Jackson Securities and Dudley Brown Jr. a top official for violation of the Municipal Securities Rulemaking Board's Rule G-37. They allegedly contributed to the Saint Louis, Missouri comptroller and then underwrite notes for the city. They also fail to report several political contributions.


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