Refine Search

  •  
  •  
NASD orders first-ever suspension of mutual-fund business

...was ordered to revise its systems to correct supervisory and e-mail retention deficiencies. National President Michael A. Bresner was fined $25,000 and received a one-month supervisory suspension for the firm's supervisory failures. Bresner...

http://chronicle.augusta.com/stories/2004/08/20/fin_425848.shtml
Finance
1