NASD Files Charges Against ABW Direct Four Employees

Hume, Lynn
April 2006
Bond Buyer;4/7/2006, Vol. 356 Issue 32356, p7
Trade Publication
The article reports that the National Association of Securities Dealers (NASD) has filed charges against four employees of broker dealer A.B. Watley Direct Inc. in the U.S. The four employees included in the suit are Robert Franklyn Malin, the president of the brokerage firm, Linus Nwaigwe, Robert Conway and Kakit Ng, a former equities trader. The NASD has filed a case against them for violating several rules in connection with alleged improper late trading.


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