TITLE

NASD Files Charges Against ABW Direct Four Employees

AUTHOR(S)
Hume, Lynn
PUB. DATE
April 2006
SOURCE
Bond Buyer;4/7/2006, Vol. 356 Issue 32356, p7
SOURCE TYPE
Trade Publication
DOC. TYPE
Article
ABSTRACT
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.
ACCESSION #
20475372

 

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