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For that, maybe you just call Iola into a room and tell him not to do it again.
FORBES: Stockbroker Fined And Suspended For Using Microsoft Excel Spreadsheet
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The AWC alleged that although Iola checked the summaries for internal consistency, he did not cross-reference the figures presented on them with the figures in the account statements.
FORBES: Stockbroker Fined And Suspended For Using Microsoft Excel Spreadsheet
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Finally, FINRA admonished that for most of the relevant time period, Iola failed to annotate the documents with footnotes or disclaimers that the regulator suggests was necessary to made the date understandable.
FORBES: Stockbroker Fined And Suspended For Using Microsoft Excel Spreadsheet
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Iola Brubeck, the pianist's wife of 70 years and lyricist, opened the tribute by acknowledging the hundreds of letters she had received from people throughout the word in the five months since her husband's death.
WSJ: Family and friends celebrate Dave Brubeck's life
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Further, by producing and then distributing these summaries to his customers, Iola was deemed to have violated NASD Conduct Rules 2110 (for conduct before December 15, 2008), 2210(d)(1)(A) and 2210(d)(1)(B), and FINRA Rule 2010 (for conduct after December 14, 2008).
FORBES: Stockbroker Fined And Suspended For Using Microsoft Excel Spreadsheet
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Wright performed a duet with Darius Brubeck on "King For A Day, " a song written by Dave and Iola Brubeck for Louis Armstrong for their 1962 musical "The Real Ambassadors, " which dealt with allegations of hypocrisy for the State Department using jazz musicians as symbols of democracy while the civil rights struggle was raging at home.
WSJ: Family and friends celebrate Dave Brubeck's life