TITLE

NASD Fines Wolff Investment for Doing Unauthorized Muni Deals

AUTHOR(S)
Hume, Lynn
PUB. DATE
February 2002
SOURCE
Bond Buyer;2/19/2002, Vol. 339 Issue 31327, p5
SOURCE TYPE
Trade Publication
DOC. TYPE
Article
ABSTRACT
Reports that the National Association of Securities Dealers (NASD) has fined New York City-based Wolff Investment Group Inc. for doing unauthorized municipal securities business transactions. Directives to be complied by the company according to sanctions; Amount of sanctions imposed on the firm; Information provided by NASD on reasons behind the sanction; Statement filed by the firm with NASD.
ACCESSION #
8559311

 

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