He isn't a registered securities broker in Arizona or with the National Association of Securities Dealers.
The National Association of Securities Dealers says spreads on Nasdaq stocks are down 30% in the past year.
Any problems investors experience may be directed to the SEC or the National Association of Securities Dealers, Inc.
FORBES: 401(k)s: Far More Dangerous Than IRAs (March 2, 2001)
Letter to the National Association of Securities Dealers (NASD) Regarding Illegal Activity In the Pension Fund and Money Management Industry.
The National Association of Securities Dealers recently abandoned long- standing requirements that member companies use arbitration to resolve discrimination claims.
Softbank and the National Association of Securities Dealers just announced plans to jointly set up a Nasdaq market in Japan.
It also turned out that Applied's investment bank, Vertical Capital, had twice been fined by the National Association of Securities Dealers.
FORBES: As a businessman, he's been mixing with a sketchier crowd.
Collage is now in use at the National Association of Securities Dealers, the U.S. Joint Forces Command and the U.S. Defense Contracts Management Agency.
This idea has already been adopted by the National Association of Securities Dealers and other self-regulating bodies that govern Wall Street.
One almost laughable example of lame self-regulation: the BrokerCheck Program, run by the National Association of Securities Dealers, the brokerage industry's self-regulator.
Today, the NASD, formerly the National Association of Securities Dealers, fined J.
It was a stunning revelation, one that is now the subject of an arbitration complaint before the National Association of Securities Dealers.
San Diego securities attorney Ronald Marron has filed a complaint over Morgan Stanley's variable annuity sales practices with the National Association of Securities Dealers.
In 2002, Mr. Wey, without admitting nor denying wrongdoing, was fined and briefly suspended by the National Association of Securities Dealers, a former self-regulatory organization.
The options debacle helped drive a 24% increase last year in arbitration cases filed with the National Association of Securities Dealers to a record 6, 915.
The Siedle Directory of Securities Dealers, scheduled to be released in May, may never be published if the National Association of Securities Dealers has its way.
FORBES: NASD Threatens Suit Over The Siedle Directory of Securities Dealers (March 1, 2002)
The Directory provides retail and institutional investors alike with critical information regarding the integrity of all brokerage firms registered with the National Association of Securities Dealers, Inc.
FORBES: NASD Threatens Suit Over The Siedle Directory of Securities Dealers (March 1, 2002)
The independent consultants are scheduled to meet April 20 with the Securities and Exchange Commission, the National Association of Securities Dealers and the New York State attorney general.
The National Association of Securities Dealers, Inc. is attempting in litigation in Florida to thwart publication of The Siedle Directory which details the disciplinary histories of its members.
FORBES: Misdeeds of Stockbrokerages Under-reported (July 1, 2002)
Linda Fienberg of the National Association of Securities Dealers says the data do not support that view, and she is taking steps to build trust in the process.
The Philadelphia Stock Exchange , America's oldest, agreed in principle to merge with the American Stock Exchange and the National Association of Securities Dealers, which themselves plan to merge.
Nasdaq has been seeking for some time to become independent from the National Association of Securities Dealers, which regulates the exchange, but the SEC has yet to make a decision.
The Siedle Directory of Securities Dealers provides retail and institutional investors alike with critical information regarding the integrity of all brokerage firms registered with the National Association of Securities Dealers, Inc. (NASD).
According to the National Association of Securities Dealers, in 1996 Sitomer and Rome sold stock in a company they were underwriting, then repurchased the stock and resold it at a higher price.
He has filed a complaint with the National Association of Securities Dealers, alleging the firm failed to warn him of the dangers of margining his account or to discuss hedging the risk.
The firms also now face hundreds of suits in which clients are seeking compensation for losses via arbitration in front of the National Association of Securities Dealers or New York Stock Exchange.
Robert Glauber, chairman of America's National Association of Securities Dealers, reminded the finance industry during a visit to London last month that bouts of punitive re-regulation by angry authorities can be long-lived.
Data regarding millions of nationwide brokerage firm customer complaints is not disclosed to the public, despite the fact that state securities regulators, the SEC and National Association of Securities Dealers, each keep such records.
FORBES: Misdeeds of Stockbrokerages Under-reported (July 1, 2002)
That probe drew together a widening net of inquiries into securities firms' practices in the bubble years of the late 1990s, including those by the National Association of Securities Dealers and many other state securities regulators.
These rah-rah sessions have drawn the scrutiny of the National Association of Securities Dealers, which has decided to institute disciplinary action against Leo Wells for violating rules on gift-giving by paying for reps' travel to the conferences.
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