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National Association of Securities Dealers News is an EIN News Service for banking industry professionals. Constantly updated news and information about banking.
Latest National Association of Securities Dealers News
- Two Columbia Men Sentenced for $3 Million Investment Fraud 23 Nov 2009 09:39 GMT
... to September 2005, Brown falsely claimed to be licensed by the SEC and/or the National Association of Securities Dealers. Brown also made false statements regarding the investments he was offering his victims, telling ...
- PicksThatMove.com Announces Investment Opinion on Ldk Solar Co Ltd, Coalcorp Mining Inc., Encore Renaissance Resources Corp., Starbucks Corp. and Cord Blood America Inc. 23 Nov 2009 17:50 GMT
... the stocks mentioned above. Nick Hunter, RIA, of PicksThatMove is a member of the National Association of Securities Dealers, CRD number 2022366 ...
- Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Eliminate Rules Related to Nasdaq's PORTAL Market 19 Nov 2009 21:58 GMT
... Proposed Rule Change Nasdaq proposes to eliminate rules related to its PORTAL Market. The National Association of Securities Dealers, Inc. ("NASD") created the PORTAL Market in 1990, /5/ simultaneously with the SEC's adoption ...
- US stock market closing report. 19 Nov 2009 05:19 GMT
... shed 13.61 points, EOD 10,423.81 NYSE (New York Stock Exchange) shed 7.35, EOD 7,226.71 National Association of Securities Dealers Automated Quotations (NASDAQ) shed 10.9 points, EOD 2,192.88 S&P 500 (SPX) shed 0.74 points, ...
- Daily Market Commentary for November 18, 2009 18 Nov 2009 22:36 GMT
... price: ) shed 13.61 points, EOD 10,423.81 NYSE ( ) shed 7.35, EOD 7,226.71 National Association of Securities Dealers Automated Quotations ( ) shed 10.9 points, EOD 2,192.88 S&P 500 (SPX) shed 0.74 ...
- SEC Names Senior Officials To Investor Education And Advocacy Efforts 19 Nov 2009 20:34 GMT
... Ms. Head began her legal career in the Office of General Counsel at the National Association of Securities Dealers (now FINRA). She practiced securities law with Kelley Drye & Warren and later with ...
- U.S. Launches Multi-Agency Task Force to Prosecute Financial Fraud 20 Nov 2009 04:30 GMT
... fleecing of long-term investors by Bernard L. Madoff, a former vice chairman of the National Association of Securities Dealers. , Madoff and accomplices appear to have used an IBM AS/400 server known as ...
- Search for missing boater continues Wednesday 18 Nov 2009 00:37 GMT
... records show. And in 2003, Zaicek, then a securities dealer, was suspended by the National Association of Securities Dealers for failing to disclose certain information in his licensing papers. He was fined $7,500 ...
- PicksThatMove.com Announces Investment Opinion on Chicos FAS Inc., Petaquilla Minerals Ltd., Vivus Inc., iseemedia inc. and Power 3 Medical Products 18 Nov 2009 18:31 GMT
... the stocks mentioned above. Nick Hunter, RIA, of PicksThatMove is a member of the National Association of Securities Dealers, CRD number 2022366 ...
- PicksThatMove.com Announces Investment Opinion on Chicos FAS Inc., Petaquilla Minerals Ltd., Vivus Inc., iseemedia inc. 18 Nov 2009 18:33 GMT
... the stocks mentioned above. Nick Hunter, RIA, of PicksThatMove is a member of the National Association of Securities Dealers, CRD number 2022366 PicksThatMove.com : ...
- PicksThatMove.com Announces Investment Opinion on Norton Resources, NetApp Inc., China Marine Food Group Ltd., Barrick Gold Corporation and View Systems Inc. 19 Nov 2009 18:51 GMT
... the stocks mentioned above. Nick Hunter, RIA, of PicksThatMove is a member of the National Association of Securities Dealers, CRD number 2022366 ...
- PicksThatMove.com Announces Investment Opinion on AMBAC Financial Group Inc., Canasia Industries Corporation, DryShips Inc., instaCare Corp. and Gold Wheaton Corporation 18 Nov 2009 21:11 GMT
... the stocks mentioned above. Nick Hunter, RIA, of PicksThatMove is a member of the National Association of Securities Dealers, CRD number 2022366 ...
- PicksThatMove.com Announces Investment Opinion on AMBAC Financial Group Inc., Canasia Industries Corporation, DryShips Inc., instaCare 18 Nov 2009 21:15 GMT
... the stocks mentioned above. Nick Hunter, RIA, of PicksThatMove is a member of the National Association of Securities Dealers, CRD number 2022366 PicksThatMove.com : ...
- Daily Market Commentary for November 16, 2009 17 Nov 2009 03:37 GMT
... gain 137.70 points, EOD 10,408.17 NYSE ( ) triple digit gain 117.18, EOD 7,237.07 National Association of Securities Dealers Automated Quotations ( ) gain 28.75 points, EOD 2,196.63 S&P 500 (SPX) gain 15.58 ...
- Search for Greenwood Lake boater enters third day 17 Nov 2009 15:37 GMT
... records show. And in 2003, Zaicek, then a securities dealer, was suspended by the National Association of Securities Dealers for failing to disclose certain information in his licensing papers. He was fined $7,500 ...
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