NASD Cracks Down on Prohibited Sales Contests

NASD (known formerly as the National Association of Securities Dealers) recently fined David Lerner Associates Inc., a Long Island brokerage firm, for running prohibited sales contests, and NASD officials want to ensure there aren’t other cases out there as well.

Register to view the full article

Register for MeetingsNet.com and gain access to premium content including the CMI 25 Listing, our monthly digital edition, the MeetingsNet app, live and on-demand webinars, and much more.

Hide comments

Comments

  • Allowed HTML tags: <em> <strong> <blockquote> <br> <p>

Plain text

  • No HTML tags allowed.
  • Web page addresses and e-mail addresses turn into links automatically.
  • Lines and paragraphs break automatically.
Publish