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Firm Owner Sanctioned for Failing to Supervise Two Registered Representatives
WASHINGTON — FINRA announced today that it has ordered New Jersey-based broker-dealer Buckman, Buckman & Reid, Inc. (BBR) to pay approximately $205,000 in restitution to seven customers for failing to reasonably supervise two former registered representatives who recommended excessive and unsuitable trades in
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Operations
Systems
Trading
As of November 29, 1996, the following bonds were added to the Fixed Income Pricing System (FIPS).
Symbol
Name
Coupon
Maturity
UIS.GG
Unisys Corp
11.750
10/15/04
TLLP.GC
Toll Corp
8.750
11/15/06
MCCC.GA
McCrory Corp
7.770
7/15/94
TALR.GA
Total Renal
As of August 28, 1996, the following bonds were added to the Fixed Income Pricing System (FIPS).
Symbol
Name
Coupon
Maturity
CQB.GH
Chiquita Brands Intl
10.25
11/01/06
KR.GJ
Kroger Co
8.15
7/15/06
SCR.GD
Sea Containers Ltd
10.5
7/1/03
GBPI.GA
Golden Books Publishing Inc
7.65
9/15/02
ORX.GI
Oryx Energy
8.375
7/15/04
CSNO.GB
Casino America Inc
Suggested Routing
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Operations
Systems
Trading
As of May 30, 1996, the following bonds were added to the Fixed Income Pricing System (FIPSSM).
Symbol
Name
Coupon
Maturity
FDB.GA
Foodbrands American Inc
10.750
5/15/06
LOEH.GA
Loehmanns Inc New
11.875
5/15/03
CRBR.GB
Chancellor Radio Broadcasting Co
12.500
10/1/04
CVC.GF
As of April 30, 1996, the following bonds were added to the Fixed Income Pricing System (FIPSSM).
Symbol
Name
Coupon
Maturity
DOMT
Dominion Textile USA Inc
9.25
4/01/2006
BORN.GA
Borden Inc
8.375
4/15/16
As of March 29, 1996, the following bonds were added to the Fixed Income Pricing System (FIPSSM).
Symbol
Name
Coupon
Maturity
TLMD.GB
Telemundo Group Inc
7
2/15/96
DOPD.GA
Doane Products Company
10.625
3/1/06
[Please note: there is currently no text to accompany this notice. To be updated when material is published by NASD.]
Washington, DC - FINRA announced today that it has settled cases against five firms for mutual fund sales and supervisory violations - including improper sales of Class B and Class C mutual fund shares and failure to have supervisory systems designed to provide all eligible investors with the opportunity to purchase Class A mutual fund shares at net asset value (NAV) through NAV transfer programs.
As of December 28, 1995, the following bonds were added to the Fixed Income Pricing System (FIPSSM).
Symbol
Name
Coupon
Maturity
CBBS.GA
CBS Inc
7.625
1/1/02
CBBS.GB
CBS Inc
7.750
6/1/99
CBBS.GC
CBS Inc
7.125
11/1/23
CBBS.GD
CBS Inc
8.875
6/1/22
CMS.GC
CMS Energy
7.000
6/15/00
CMS.GD
CMS Energy
7.000
7/15/00
CMS.GE
CMS Energy
7.000
7/15/00
CMS.GF
CMS Energy
8.000
7/15/02
WHCR.GA
Westinghouse
GUIDANCE
Alignment of NASD Rules with Regulation NMS
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registered Representatives
Senior Management
Systems
Trading
ADF Trading Centers
Alternative Display Facility (ADF)
Regulation NMS
Trade Reporting
Executive Summary
On September 28, 2006, the Securities and Exchange Commission
(Commission or SEC) approved