At A Glimpse

October 2006
Investment Dealers' Digest;10/2/2006, Vol. 72 Issue 37, p8
Trade Publication
The article presents developments related to the finance sector in the U.S. Six dealers from Wall Street said that they planned to invest in a new consortium called Block Interest Discovery Service. A former employee of Prudential, Frederick O'Meally, who was fired amid the mutual fund market timing imbroglio was awarded $3.8 million by a National Association of Securities Dealers panel.


Related Articles

  • WACHOVIA WON'T APPEAL ARBITRATION AWARD TO EX-BROKER. Forde, Arnella J. // On Wall Street;Jan2007, Vol. 17 Issue 1, p20 

    The article reports on the arbitration victory of Frederick O'Meally, former broker of Wachovia Securities, against the financial firm. It discusses the allegations against O'Meally filed by Wachovia Securities. After the allegations of the financial firm against him regarding the swindling of...

  • Lesson plan seeks to nurture youths' financial competence. Winokur, Cheryl // American Banker;1/25/1999, Vol. 164 Issue 15, p8 

    Reports on the Financial Literacy 2001 curriculum that aims to nurture United States youths' financial competence. Sending of curriculum to teachers throughout the US; Result of cooperation between the National Association of Securities Dealers, the nonprofit Investor Protection Trust and state...

  • Wachovia Ordered to Pay Fired Broker $3.8 Million. Pizzani, Lori // Money Management Executive;10/2/2006, Vol. 14 Issue 37, p4 

    The article discusses the penalty charged against Wachovia Securities LLC for the termination of its senior vice president, Frederick O'Meally. The $3.8 million award from the National Association of Securities Dealers in the U.S. has been awarded to O'Meally for having been fired in 2003. The...

  • Be Wary of Concentration. Eccleston, James // On Wall Street;Jul2000, Vol. 10 Issue 7, p106 

    Provides guidelines for understanding what constitutes the over-concentration of investment portfolios. Significance of diversification of investors' accounts; Views of the National Association of Securities Dealers on investment concentration; Calculation of the percentage of investment...

  • The Word of the Year Is … Volatility.  // Money Management Executive;1/2/2012, Vol. 20 Issue 1, p4 

    The article offers news briefs related to financial management industry in the U.S. Survey by SEI Advisor Network shows that financial advisers believe that the 2011 is considered as the year of volatility. It says that retirement asset in the third quarter of 2011 amounts to 17 trillion dollars...

  • NASD to Continue to Focus on Mutual Fund Sales. Trincal, Emma // Money Management Executive;2/21/2005, Vol. 13 Issue 7, p10 

    The article reports that National Association of Securities Dealers (NASD) may have initiated fewer disciplinary actions in 2004, but the size of its fines got a lot bigger, it pressed a record number of cases against improper fund sales and trading, and its interest in mutual fund sales...

  • TRACE Alters The Playing Field For Traders. O'Leary, Christopher // High Yield Report;7/4/2005, Vol. 16 Issue 26, p1 

    Reports on the launching of the Trade Reporting and Compliance Engine system by the National Association of Securities Dealers in an effort to make the corporate bond market as transparent as the stock market in the U.S. Means of leveling the playing field for bond investors; Increase in price...

  • NASD Issues Exemptions. Hume, Lynn // Bond Buyer;2/25/2005, Vol. 351 Issue 32078, p1 

    This article reports that the National Association of Securities Dealers (NASD) has exempted two firms from Rule G-37's temporary ban on engaging in municipal securities business with issuers after officials of the issues each received $1,000 contributions from the firms' municipal finance...

  • Capital Ideas. Quinn, Jane Bryant // Newsweek;2/20/2006, Vol. 147 Issue 8, pE20 

    This article details several ways to gather investment information from the National Association of Securities Dealers. Bondinfo.com allows users to check if their broker gave them a fair quote on purchased bonds. A calculator on nasd.com allows users to compare mutual-fund costs. Another...


Read the Article


Sorry, but this item is not currently available from your library.

Try another library?
Sign out of this library

Other Topics