TITLE

NASD Hits Banc One Capital Markets With $1.8 Million Fine for Violations

AUTHOR(S)
Hume, Lynn
PUB. DATE
April 2001
SOURCE
Bond Buyer;04/06/2001, Vol. 336 Issue 31113, p6
SOURCE TYPE
Trade Publication
DOC. TYPE
Article
ABSTRACT
Reports that the National Association of Securities Dealers has censured and fined Banc One Capital Markets Inc. (BOCM) for failing to meet net capital requirements or maintain accurate customer reserves, books, and records during much of 1999. Problems that the firm had with its computerized securities processing and accounting software; Statement issued by BOCM.
ACCESSION #
4340193

 

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