TITLE

NASD Fines Ramirez & Co. Over Lapsed Registrations

AUTHOR(S)
Hume, Lynn
PUB. DATE
October 2001
SOURCE
Bond Buyer;10/19/2001, Vol. 338 Issue 31247, p5
SOURCE TYPE
Trade Publication
DOC. TYPE
Article
ABSTRACT
Reports the penalty issued to Samuel A. Ramirez and Co. Inc. by the National Association of Securities Dealers (NASD) for the alleged violation of registration and conduct rules in Puerto Rico. Amount of fines imposed on the company; Implication of the NASD sanctions; Comment of Samuel Ramirez, president and chief executive officer of the firm on the allegations.
ACCESSION #
5445108

 

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