NASD Files Charges Against ABW Direct Four Employees
- Boiler room 2. Abelson, Ben // Long Island Business News (7/1993 to 5/2009);10/24/2003, Vol. 50 Issue 46, p1A
Reports on the charges filed by the National Association of Securities Dealers (NASD) against two Long Island brokerage houses. Plan to establish a significant presence in Suffolk County; Other cases filed by NASD; Inclination of individual investors to take speculative investments in the company.
- Broke at the Broker's. // Time;9/13/1968, Vol. 92 Issue 11, p96
The article focuses on the rulings of a conduct committee of the National Association of Securities Dealers regarding the case filed by widow Bertha Hecht against Harris, Upham & Co. It says that Hecht's fortune of 533,161 dollars, which she turned over to a firm's representative, was cut in...
- At Deadline. // Money Management Executive;6/7/2004, Vol. 12 Issue 23, p1
The article presents news updates on issues related to money management. Davenport & Co., a Richmond, Virginia-based brokerage firm, market times variable annuity sub-accounts on behalf of two of its hedge fund clients, the National Association of Securities Dealers charged, ordering Davenport...
- Dozens of Brokerages Miscalculated Breakpoints. // Money Management Executive;1/22/2007, Vol. 15 Issue 3, p2
The article reports on the failure of brokerages to provide accurate information to mutual fund investors in the U.S. Dozens of brokerages have failed to compensate mutual fund investors to breakpoints owed to them for purchases in 2001 and 2002. The National Association of Securities Dealers...
- Small Firms Uprising Averted at NASD. // Traders Magazine;Nov2002, Vol. 15 Issue 204, p20
Reports on the delay in small broker dealers' attempts to wrest control of the U.S. National Association of Securities Dealers (NASD). NASD agreement to meet with NASD members who planned to run a candidate slate in the 2002 NASD elections; NASD's underestimation of dissident group's strength;...
- New dealer-exemption procedures for rule G-37 adopted by NASD. Hume, Lynn Stevens // Bond Buyer;10/13/97, Vol. 322 Issue 30250, p1
Reports on the National Association of Securities Dealers' decision to put in place new procedures for considering dealers' request for exemptions from the Municipal Securities Rulemaking Board's Rule G-37. Details of the new procedure; Members' reactions to the adoption of the new procedures.
- The theory of performance relativity. // Financial Planning;Mar1998, Vol. 28 Issue 3, p28
Reports on the rules released by the National Association of Securities Dealers relating to the use by companies of industry standards for related performances. Importance of track record on related performance; Types of related performance.
- Customer complaints against stock brokers to be open to public. // Hudson Valley Business Journal;8/05/96, Vol. 7 Issue 7, p43
Reports on the National Association of Securities Dealers Inc.'s announcement of the availability of a toll-free service for information on pending customer complaints against stock brokers in the United States.
- Traders Attack High Cost of Compliance. Hoffman, William // Traders Magazine;Jun2000, Vol. 13 Issue 168, p8
Reports on the criticisms raised by stock traders on the Order Audit Trail System (OATS) proposed by the National Association of Securities Dealers at the 2000 Security Traders Association's conference. Impact of OATS on small brokerage firms according to Bonnie Wachtel, vice president and...