National Association of Securities Dealers – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Wed, 11 Jul 2007 20:15:00 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png National Association of Securities Dealers – Investment Executive https://www.investmentexecutive.com 32 32 NASD fines Securities America US$375,000 for improperly sharing directed brokerage payments https://www.investmentexecutive.com/news/from-the-regulators/nasd-fines-securities-america-us375000-for-improperly-sharing-directed-brokerage-payments/ Wed, 11 Jul 2007 20:15:00 +0000 https://www.investmentexecutive.com/uncategorized/nasd-fines-securities-america-us375000-for-improperly-sharing-directed-brokerage-payments/ Firm failed to adequately supervise broker’s communications with his union-sponsored retirement plan clients

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]]> NASD settles cases against four firms for failures relating to mutual fund sales https://www.investmentexecutive.com/news/from-the-regulators/nasd-settles-cases-against-four-firms-for-failures-relating-to-mutual-fund-sales/ Thu, 28 Jun 2007 17:40:00 +0000 https://www.investmentexecutive.com/uncategorized/nasd-settles-cases-against-four-firms-for-failures-relating-to-mutual-fund-sales/ Firms fined over US$1.2 million

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]]> NASD fines Wells Fargo Securities for failing to disclose analyst’s employment with covered company in research report https://www.investmentexecutive.com/news/from-the-regulators/nasd-fines-wells-fargo-securities-for-failing-to-disclose-analysts-employment-with-covered-company-in-research-report/ Wed, 27 Jun 2007 19:30:00 +0000 https://www.investmentexecutive.com/uncategorized/nasd-fines-wells-fargo-securities-for-failing-to-disclose-analysts-employment-with-covered-company-in-research-report/ Regulator also suspends former director of research; Files complaint against analyst

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]]> NASD fines Wachovia Securities US$2 million for fee-based account violations https://www.investmentexecutive.com/news/from-the-regulators/nasd-fines-wachovia-securities-us2-million-for-fee-based-account-violations/ Thu, 21 Jun 2007 20:35:00 +0000 https://www.investmentexecutive.com/uncategorized/nasd-fines-wachovia-securities-us2-million-for-fee-based-account-violations/ Regulator also orders firm to identify and pay restitution to 1,300 customers

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]]> NASD fines Citigroup US$3 million https://www.investmentexecutive.com/news/from-the-regulators/nasd-fines-citigroup-us3-million/ Wed, 06 Jun 2007 20:45:00 +0000 https://www.investmentexecutive.com/uncategorized/nasd-fines-citigroup-us3-million/ Orders US$12.2 million in restitution to over 200 customers

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]]> NASD fines HSBC Brokerage for failure to supervise https://www.investmentexecutive.com/news/from-the-regulators/nasd-fines-hsbc-brokerage-for-failure-to-supervise/ Tue, 29 May 2007 15:10:00 +0000 https://www.investmentexecutive.com/uncategorized/nasd-fines-hsbc-brokerage-for-failure-to-supervise/ Firm routed orders for government securities transactions internally for over a year without adequate controls in place

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]]> NASD fines two Fidelity broker dealers US$400,000 https://www.investmentexecutive.com/news/from-the-regulators/nasd-fines-two-fidelity-broker-dealers-us400000/ Tue, 08 May 2007 21:10:00 +0000 https://www.investmentexecutive.com/uncategorized/nasd-fines-two-fidelity-broker-dealers-us400000/ The National Association of Securities Dealers today announced that it has fined two Fidelity broker-dealers US$400,000 for preparing and distributing misleading sales literature promoting their systematic investment plans, which were sold primarily to U.S. military personnel. Issuance and sales of new systematic investment plans (also known as periodic payment plans), which typically require investors to […]

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]]> U.S. regulator, exchange fine and suspend two traders https://www.investmentexecutive.com/news/from-the-regulators/u-s-regulator-exchange-fine-and-suspend-two-traders/ Mon, 30 Apr 2007 20:44:00 +0000 https://www.investmentexecutive.com/uncategorized/u-s-regulator-exchange-fine-and-suspend-two-traders/ Klaus Offenbacher and Bruce Kaminski artificially increased the market price of a stock

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]]> Touting “China” stocks latest “Pump and Dump” scheme, NASD alert says https://www.investmentexecutive.com/news/from-the-regulators/touting-china-stocks-latest-pump-and-dump-scheme-nasd-alert-says/ Mon, 23 Apr 2007 20:25:00 +0000 https://www.investmentexecutive.com/uncategorized/touting-china-stocks-latest-pump-and-dump-scheme-nasd-alert-says/ Most of the companies being peddled are not even incorporated in China

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]]> NASD reminds investors to consider global market risk when investing https://www.investmentexecutive.com/news/from-the-regulators/nasd-reminds-investors-to-consider-global-market-risk-when-investing/ Mon, 16 Apr 2007 15:20:00 +0000 https://www.investmentexecutive.com/uncategorized/nasd-reminds-investors-to-consider-global-market-risk-when-investing/ Alert outlines various types of market risk

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