Ellis himself believes there may have been a shot to work alongside the NASD Foundation.
Since the NASD blocked me in court from publishing it, investors remain perilously uninformed.
And every few years the SEC gives the NASD a good kick in the pants.
The degree of control the NASD and its members exercise is both remarkable and disturbing.
Community Trust Bancorp, Inc. ( NASD: CTBI), which saw buying by Director James R.
FORBES: Community Trust Bancorp Named Top Dividend Stock With Insider Buying and 3.66% Yield (CTBI)
The NASD seems most concerned about exposure of those firms with the greatest disciplinary problems.
FORBES: NASD Threatens Suit Over The Siedle Directory of Securities Dealers (March 1, 2002)
These are matters the SEC, NASD, AIMR and others maintain pose no risk to investors.
Expeditors International of Washington, Inc. ( NASD: EXPD), according to The Online Investor.
The letter is urging member firms to vote "no" on any ballot they receive from NASD.
Such offsetting trades were done purely to reward the IPO-offering bank, the NASD said.
And what is the standard of conduct the NASD is seeking to uphold-insider silence?
When you call the number on the sec.gov website with questions, the NASD answers the phone.
FORBES: Why the SEC Is In Danger of Becoming Irrelevant ( February 28, 2006 )
The NASD Program permits investors to only view information about one firm at a time.
FORBES: NASD Threatens Suit Over The Siedle Directory of Securities Dealers (March 1, 2002)
On October 2, 2001, the NASD had responded that they would not object to the publication.
FORBES: NASD Threatens Suit Over The Siedle Directory of Securities Dealers (March 1, 2002)
What in the Directory is so disturbing that it would lead the NASD to threaten litigation?
FORBES: NASD Threatens Suit Over The Siedle Directory of Securities Dealers (March 1, 2002)
Yet the SEC allows the NASD to offer its misleading PDP for investors to rely upon.
FORBES: Why the SEC Is In Danger of Becoming Irrelevant ( February 28, 2006 )
Only information regarding arbitration cases filed with the NASD is disclosed to the public.
FORBES: Misdeeds of Stockbrokerages Under-reported (July 1, 2002)
Maybe a remnant of something left over from a cut-and-paste from another NASD case?
FORBES: Convicted Bank Fraudster Starts Forex Ponzi After Prison
This isn't to say the NASD isn't on the lookout for Bulletin Board fraud.
It's simply that the NASD, lacking subpoena power, can only refer suspicions to the SEC.
NASD, FINRA obtained a protective order shielding from public disclosure the substance of the IRS letter.
FORBES: Absolute Immunity for FINRA Mall Cops: FUHGEDDABOUDIT!
The NASD has no real power over the 3, 400 stocks listed on the system.
Plaintiff attorneys filed 1, 463 cases for NASD arbitration inJanuary and February, up 23% in a year.
In fact at one time Ponzi king Madoff was the vice-chairman of FINRA predecessor, NASD.
Similarly-sized Orion Energy Systems (NASD:OESX) pays less than half as much to top management.
Within days, the SEC overturned his ban from the industry, saying NASD erred by not allowing Quattrone a hearing.
One such company is Hallador Energy Co ( NASD: HNRG), which saw buying by CEO Victor P.
One such company is Lakeland Bancorp, Inc. ( NASD: LBAI), which saw buying by Director Robert E.
One such company is VSE Corp. ( NASD: VSEC), which saw buying by Director Calvin Scott Koonce.
One such company is Pacific Continental Corp ( NASD: PCBK), which saw buying by CEO Hal Brown.
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