NASD Fines Wolff Investment for Doing Unauthorized Muni Deals

Hume, Lynn
February 2002
Bond Buyer;2/19/2002, Vol. 339 Issue 31327, p5
Trade Publication
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.


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