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investigations and the prosecution of NASD enforcement actions violates NASD Rule 2110, which requires members to observe high standards of commercial honor and just and equitable principles of ...
The next day, NASD Enforcement rejected this proposal by reiterating the need to question Quattrone about document destruction and the representations in his Wells Submissions and stating that ...
Top NASD Enforcement Official Barry R. Goldsmith Joins Gibson Dunn in DC: January 18, 2006. Gibson, Dunn & Crutcher LLP is pleased to announce that Barry R.
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From Ignites.com NASD Offers Peek at Enforcement Agenda (Article reprinted by permission from Money Media) Dated 26, May, 2005. By Alison Sahoo . Article published on May 26, 2005
Mark Koerner, Regional Counsel for Enforcement, NASD, spoke on current enforcement issues for the NASD at the Mesirow Financial B/D and IA Services 2005 Conference which ...
by Lee M. Webb . Canada StockWatch. September 29, 2006. CMKM Diamonds Inc., Saskatchewan native Urban Casavant's revoked pink sheet woofer, features prominently in a National Association of Securities ...
Texas-Based Accountant Pleads Guilty to Lying to SEC Investigators
Washington, D.C., Jan. 12, 2012 ? The Securities and Exchange Commission today announced that a former audit partner at accounting and consulting firm BDO USA LLP has pled guilty to criminal charges for lying to SEC enforcement staff during investigative testimony. nasd enforcement 11 Feb 2012
How Allen Stanford kept the SEC at bay
How did Allen Stanford, who allegedly ran a $7 billion Ponzi scheme, keep authorities at bay for so long? This examination finds that the answer lay in part in the legal advice he obtained from former SEC officials and law-enforcement officials nasd enforcement 11 Feb 2012
How Allen Stanford's SEC Connections Enabled His $7 Billion Ponzi-Scheme
(Refiles to fix typo in story list) * Former SEC attorneys worked for Ponzi-scheme suspect By Murray Waas Jan 26 (Reuters) - In 2009, federal investigators finally arrested Houston financier R. Allen Stanford. nasd enforcement 11 Feb 2012
IRS Commissioner Shulman to Deliver Keynote Speech at Tax Council Policy Institute Annual Symposium
WASHINGTON, Jan. 24, 2012 /PRNewswire/ -- The Tax Council Policy Institute (TCPI) announced today that Douglas H. Shulman, commissioner of the Internal Revenue Service (IRS), will deliver the opening keynote ... nasd enforcement 11 Feb 2012
Deal Effectively With Difficult Clients
Learn how to tame the most shrewish clients with these simple methods. nasd enforcement 11 Feb 2012
BRG's Financial Institutions Team Adds Three DC Experts
EMERYVILLE, CA -- Charles Lundelius, Jr., Jim Conversano, and Jennifer Hull have joined Berkeley Res... nasd enforcement 11 Feb 2012