TITLE

NASD Sanctions Brokers' Broker Rep, 2 Firms

AUTHOR(S)
Hume, Lynn
PUB. DATE
March 2006
SOURCE
Bond Buyer;3/16/2006, Vol. 355 Issue 32340, p1
SOURCE TYPE
Trade Publication
DOC. TYPE
Article
ABSTRACT
The article reports on the sanction on the National Association of Securities Dealers against Carl Van der Merwe, a former brokers' broker employee for giving 5,200 of gifts and gratuities to broker-dealer's municipal bond traders. Oppenheimer & Co. and First Montauk Securities Corp. has also been cited for violation of Municipal Securities Rulemaking Board rules.
ACCESSION #
20246102

 

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