NASD Fines Analyst for Spreading Rumor
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Broker watchdog NASD said on Friday it  fined wireless equipment analyst Walter Piecyk $75,000 for  spreading a rumor that cellphone chipmaker RF Micro Devices'  RFMD.O largest customer was delaying an order.
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The NASD yesterday lodged fraud charges against H&R Block Financial Advisors Inc. for selling $16.4 million of Enron Corp. bonds to investors without warning of risks, shortly before the energy trading company filed for bankruptcy protection.
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NEW YORK, October 25  - Citigroup Global Markets Inc has been censured and asked to pay a fine of $250,000 by the NASD (National Association of the Securities Dealers), for allegedly distributing inappropriate hedge fund sales literature
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The NASD on Wednesday submitted recommendations to the US Securities and Exchange Commission to limit the use of soft dollar deals and increase disclosure about such practices.
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The NASD ordered Citigroup Inc.   to pay $1.12 million over a scheme by more than 100 brokers to  obtain mutual fund sales charge waivers by falsely claiming  their customers, including hedge funds, were disabled.
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Sold trade secrets for $20, Feds allege
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Federal prosecutors on Monday said they  believe they now know how natural gas traders manipulated index  prices by reporting false trades.
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Nasscom, the premier IT trade body, released a statement last evening expressing its dismay at the news of the arrest. It said: &quot;Nasscom is dismayed at the news of the arrest of the CEO of an IT company (Baazee
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The U.S. Securities and Exchange Commission said on Tuesday it has charged the former general counsel of KLA-Tencor Corp  and Juniper Networks Inc  with fraudulently backdating stock options.
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NASD said it had fined Raymond James Financial $2.75 million for failing to supervise more than 1,100 branch managers nationwide.
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We're delistening Accounting laggard Dell has received a delisting warning from Nasdaq officials.â¦
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Bank of New York (BK:NYSE - news - research) reportedly faces a $24 million fine to avoid a criminal indictment for allegedly failing to report suspicious activity at one of its branches.
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Indiaâs National Association of Software and Service Companies (Nasscom) has asked U.K. broadcaster Channel Four Television to provide information from a news documentary that it plans to air Thursday evening about alleged data theft in India.
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The brokerage watchdog NASD on Tuesday censured Citigroup Inc. (CN: Quote, Profile, Research) and fined the financial services company $275,000 for violating rules regarding sales of risky investments.
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NASD has accused an affiliate of American Funds of directing $100 million in trading commissions to the brokerage firms that were top sellers of its funds.
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Rumors about another press release purveyor are flying off the presses.
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Former star banker barred by the NASD for refusal to testify in obstruction of justice probe. NEW YORK  - The NASD said Monday it permanently barred former star banker Frank Quattrone from the securities