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Every month, regulators “Wall StreetÂÂ? Disciplinary decisions that fine and suspend stockbrokers and their firms — but to get a lot more interesting stories buried between the volume of cases.

national regulatory attorney Bill Singer-known analysis of the securities industryÂÂ? s-file and allows a better understanding and commentary.Here provocation are excavated some of the more unusual items NASD Bill this month:

treasurer of a condo association Aa? misusesÂÂ? the condoÂÂ? s Fund (Worden) An individual steals nearly 0000 from a broker-dealer, if he created a bank account under the name of a fictitious vendor (Shaalan). Think this is a nerd? Search in another case in which another employee misused colleaguesÂÂ? to steal on the electronic identity of more than 000 of his company (Parrott). Oh, and why youâ? Re to the staff, personal expenses, read his corporate credit card (Granik)

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Nalder? Chairman of the move is for the majority of his working time sanctioned a related company and thus its Compliance Officer to delegate responsibility and unqualified persons to tolerate the lack of staff. (Sandifur)

Is there a point where you have to monitor many dealers? Read this case and found that the supervisor has decided against his former company and employees as part of its settlement of charges testify. (Olsen);

And then there are these two types of companies. A forged his customerÂÂ? S signature on a CD and redeemed for his own use. (Chandler), the other had a credit card issued has to get his client, but somehow forget the clientÂÂ? Permission moved and 000 €. (Boltz)

RRBDLAW.com is a leading securities-industry legal / regulatory side. The content is from Bill Singer, a veteran Wall Street lawyer regulation shall be published both the industry and the public.

Contact:

Bill Singer / w
> p /

917-520-2836

http://www.rrbdlaw.com


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Credit card companies