TITLE

SEC upholds NASD sanctions against Hattier, Sanford

AUTHOR(S)
Hume, Lynn Stevens
PUB. DATE
January 1998
SOURCE
Bond Buyer;01/15/98, Vol. 323 Issue 30311, p4
SOURCE TYPE
Trade Publication
DOC. TYPE
Article
ABSTRACT
Reports that the US Securities & Exchange Commission has upheld a $60,000 fine and other sanctions imposed by the National Association of Securities Dealers Inc. against Hattier, Sanford & Reynoir. for misrepresenting their role in government securities transactions done for the Louisiana Commissioner of Insurance.
ACCESSION #
355002

 

Related Articles

  • NASD censures Hattier Sanford over confirm failures. Hume, Lynn // Securities Industry News;05/24/99, Vol. 11 Issue 21, p13 

    Reports that the National Association of Securities and Dealers censured New Orleans, Lousiana-based Hattier Sanford and Reynoir for the company's failure to disclose information on confirmation statements received by customers who purchased municipal securities. Case background; Details of the...

  • Louisiana firm censured, fined for false trade statements. Hume, Lynn Stevens // Bond Buyer;01/19/99, Vol. 327 Issue 30560, p5 

    Reports that New Orleans, Louisiana-based investment firm Hattier, Sanford & Reynoir and two of its principals have been censured and fined by the National Association of Securities Dealers. False statement given by the firms in their role in trades of government securities under a contract...

  • NASD to review charges against New Orleans firm in muni securities case. Hume, Lynn Stevens // Bond Buyer;12/16/98, Vol. 326 Issue 30541, p5 

    Reports that the National Association of Securities Dealers' (NASD) National Adjudicatory Council has decided to review charges and sanctions against New Orleans, Louisiana-based Hattier, Sanford, Reynoir. Council's plan to review markups the firm took on some of the municipal securities it...

  • NASD censures, fines Hattier Sanford over confirmation failures. Hume, Lynn // Bond Buyer;05/18/99, Vol. 328 Issue 30643, p6 

    Reports on the fines and censure received by Hattier, Sanford & Reynoir and partner Gus Reynoir from the United States National Association of Securities Dealers for failure to disclose key information on confirmation statements. Alleged violations of the Municipal Securities Rulemaking Board's...

  • Nasdaq dealers seek to delay audit trail system mandated by SEC. Horowitz, Jed // Investment Dealers' Digest;10/13/97, Vol. 63 Issue 41, p8 

    Reports on National Association of Securities Dealers' (NASD) members petition to delay the first phase of the Order Audit Trail System (OATS) mandated by the US Securities and Exchange Commission (SEC). Satisfaction of NASD's settlement agreement with the SEC; Need for the service bureaus to...

  • SEC official: Dealer compliance with G-36 is seriously lacking. Hume, Lynn Stevens // Bond Buyer;09/05/97, Vol. 321 Issue 30224, p1 

    Reports that the US Securities and Exchange Commission has found securities dealers' widespread noncompliance with the Municipalities Rulemaking Board's Rule G-36. Provisions of the Rule G-36; SEC's coordination of compliance investigations with the National Association of Securities Dealers...

  • NASD hopes to work with SEC on makeup guidance. Hume, Lynn Stevens // Bond Buyer;12/17/97, Vol. 322 Issue 30294, p4 

    Reports that the differences over markup guidelines for government and other debt should be resolved by Securities and Exchange Commission and the National Association of Securities Dealers, by 1998. Details on the differences; Indepth look at the guidelines; Comments from president of the...

  • NASD's ADF Plan in Motion. Clary, Isabelle // Securities Industry News;12/17/2001, Vol. 13 Issue 49, p1 

    Reports the submission of proposal for an alternative display facility (ADF) to the Securities and Exchange Commission (SEC) in the United States by the National Association of Securities Dealers (NASD). Consequences of the proposal; Requirements of SEC after the approval of the proposal; Plans...

  • New Orleans-Based Hattier, Sanford & Reynoir Branches Out. DeSue, Tedra // Bond Buyer;8/1/2006, Vol. 358 Issue 32435, p7 

    The article reports the attempt by Hattier, Sanford & Reynoir of the United States to recreate itself after its business in New Orleans, Louisiana, was affected by hurricanes Katrina and Rita. The broker-dealer has launched several divisions, including one called Mid-America Information...

Share

Read the Article

Courtesy of VIRGINIA BEACH PUBLIC LIBRARY AND SYSTEM

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

Try another library?
Sign out of this library

Other Topics