National Association of Securities Dealers

Type: Organization
Name: National Association of Securities Dealers
First reported Aug 27 2014 - Updated Aug 27 2014 - 2 reports

Successful ecommerce takes more than online presence, says new NASDAQ study

Image Credit: Irrational cat via Flickr“Be disrupted, or disrupt yourself,” says Mike Stiller, associate director of corporate solutions at NASDAQ, in a phone call with VentureBeat. That’s the key takeaway from a new study he co-authored on ecommerce ... [Published Venturebeat - Aug 27 2014]
First reported Aug 25 2014 - Updated Aug 25 2014 - 1 reports

Corporate whistleblowers: Justice, greed?

Joseph N. DiStefanoPosted:Monday, August 25, 2014, 3:20 PMBryn Mawr lawyer and ex-Pa. General Assembly aide Mark D. Schwartz was head of Prudential-Bache Securities' Philadelphia public-finance office in the mid-1980s when he objected to the corrupt practice ... [Published Philly.com - Aug 25 2014]
First reported Aug 19 2014 - Updated Aug 20 2014 - 1 reports

Durham man receives 15-20 years in prison for securities fraud

Durham, N.C. — A Durham man accused of taking more than $1 million from educators through fraudulent retirement investments will spend 15 to 20 years in prison after he pleaded guilty Monday to more than 40 charges of securities fraud, common law forgery ... [Published WRAL - Aug 19 2014]
First reported Aug 19 2014 - Updated Aug 19 2014 - 1 reports

Durham man pleads guilty to bilking retirees out of life savings

Durham, N.C. — Walter Reinhardt, the Durham man accused of taking more than $1 million from educators through fraudulent investments, has pled guilty to more than 40 charges of securities fraud, common law forgery and common law uttering, sources confirmed ... [Published WRAL - Aug 19 2014]
First reported Aug 18 2014 - Updated Aug 18 2014 - 1 reports

Six institutions join OTC market

NATIONAL Association of Securities Dealers (NASD) has  announced  six financial institutions that have joined the Over The Counter [OTC] participating institutions.Participating institutions are stockbroking firms and issuing houses which have applied ... [Published The Guardian Nigeria - Aug 18 2014]
First reported Aug 15 2014 - Updated Aug 15 2014 - 1 reports

Former professor says Durham man swindled her out of retirement savings

Durham, N.C. — A Durham man was "a wolf in sheep's clothing," conning teachers and others into investing their retirement funds with him only to be left penniless, a state prosecutor told jurors Friday.Walter Ray Reinhardt, 64, faces more than 40 charges ... [Published WRAL - Aug 15 2014]
First reported Aug 14 2014 - Updated Aug 14 2014 - 2 reports

Helen Davis Chaitman on "In Bed with Wall Street"

Helen Davis Chaitman is a well-known attorney with extensive experience in the areas of lender liability, bankruptcy, bank fraud, RICO, professional malpractice, trusts and estates, and white collar defense. The National Law Journal named her as one of ... [Published Zero Hedge - Aug 14 2014]
First reported Aug 13 2014 - Updated Aug 13 2014 - 1 reports

Comprehensive Automated Risk Data System (CARDS)

Find out the history of FINRA, and how it's organized to monitor the markets and protect investors. To find out if your employer is a member of the Financial Industry Regulatory Authority or FINRA (previously the National Association of Securities Dealers ... [Published Atlanta Journal And Constitution - Aug 13 2014]
First reported Aug 12 2014 - Updated Aug 12 2014 - 1 reports

Some charges dropped against Durham man accused of bilking investors

Durham, N.C. — A dozen fraud charges were dropped Tuesday against a Durham man accused of bilking retired teachers out of their savings.Walter Ray Reinhardt, 64, still faces more than 40 charges of securities fraud, common law forgery and common law ... [Published WRAL - Aug 12 2014]
First reported Aug 11 2014 - Updated Aug 11 2014 - 1 reports

Mark Costley joins Ballard Spahr

Investment management attorney Mark Costley has joined Ballard Spahr ’s business and finance department and investment management group in Washington, D.C.Costley brings more than 25 years of experience in advising financial services companies on the ... [Published HousingWire.com - Aug 11 2014]
First reported Aug 07 2014 - Updated Aug 07 2014 - 1 reports

Zosano Pharma Corp. Files SEC Form CERTNAS, Certification By The National Association of Securities Dealers Automated Quotation Approving Securities...

Zosano Pharma Corp. Files SEC Form CERTNAS, Certification By The National Association of Securities Dealers Automated Quotation Approving Securities For Listing (Jul. 28, 2014)By a News Reporter-Staff News Editor at Investment Weekly News According to ... [Published Pharmacy Choice - Aug 07 2014]
First reported Jul 31 2014 - Updated Jul 31 2014 - 2 reports

Fulton County investment advisor sentenced to 262 months' imprisonment

FOR IMMEDIATE RELEASEJuly 31, 2014The United States Attorney’s Office for the Middle District of Pennsylvania announced today that Robert G. Bard, age 47, of Warfordsburg, Pennsylvania, was sentenced by Senior U.S. District Court Judge Sylvia H. Rambo ... [Published United States Department of Justice - Jul 31 2014]

Quotes

...and said, ‘What does this actually mean? Do we need to come in and regulate the reporting here, so there’s a better understanding about ecommerce? "” Silva relayed to VentureBeat in an interview. Later the Target admitted to the SEC that its online sales growth was negligible."
"[T]he staff believes that, in contrast to the more expansive scope of the antifraud provisions , the U S broker-dealer registration requirements were not intended to protect foreign persons dealing with foreign securities professionals outside the United States. Rather, the primary responsibility for protecting foreign investors from wrongful conduct of foreign securities professionals properly lies with foreign securities regulators."
"What did he gain from doing this? He had money. He was a successful businessman. He was planted firmly in the community. He wouldn’t want to deceive his friends" Lott said in her opening statement
See: In wake of high frequency trading hoopla, Fidelity Investments is designing "Sakura’ to secure better trades for its 'shareholders’ ."

More Content

All (49) | News (37) | Reports (0) | Blogs (6) | Audio/Video (0) | Fact Sheets (5) | Press Releases (1)
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Successful ecommerce takes more than online pre... [Published Venturebeat - Aug 27 2014]
Successful ecommerce takes more than online pre... [Published Venturebeat - Aug 27 2014]
WellPoint Leads 20 Best Value Bond Trades With ... [Published Seeking Alpha - Aug 26 2014]
Corporate whistleblowers: Justice, greed? [Published Philly.com - Aug 25 2014]
TrustBond Mortgage Bank lists shares on NASD [Published The Nation Nigeria - Aug 21 2014]
Durham court sentences Reinhardt to 15 to 20 ye... [Published Durham News - Aug 20 2014]
Durham man receives 15-20 years in prison for s... [Published WRAL - Aug 19 2014]
Bond Market Battle: Berkshire Hathaway Vs. Kind... [Published Seeking Alpha - Aug 19 2014]
More Evidence On The Funding 'Subsidy' Of The T... [Published Seeking Alpha - Aug 19 2014]
Durham man pleads guilty to bilking retirees ou... [Published WRAL - Aug 19 2014]
Six institutions join OTC market [Published The Guardian Nigeria - Aug 18 2014]
Securities broker-dealer registration requireme... [Published Hospitality Net - Aug 17 2014]
Former professor says Durham man swindled her o... [Published WRAL - Aug 15 2014]
Helen Davis Chaitman on "In Bed with Wall Street" [Published Zero Hedge - Aug 14 2014]
Helen Davis Chaitman on "In Bed with Wall Street" [Published Zero Hedge - Aug 14 2014]
Comprehensive Automated Risk Data System (CARDS) [Published Atlanta Journal And Constitution - Aug 13 2014]
Fred Tomczyk responds to a Wall Street analyst ... [Published RIABiz - Aug 13 2014]
Remote Trading Revolution in the Nigerian Stock... [Published This Day Online - Aug 13 2014]
CIS pushes for broader market regulation [Published The Nation Nigeria - Aug 13 2014]
Kinder Morgan Energy Partners Leads The 20 Best... [Published Seeking Alpha - Aug 12 2014]
Some charges dropped against Durham man accused... [Published WRAL - Aug 12 2014]
Measuring The Funding Costs Of The Too Big To F... [Published Seeking Alpha - Aug 12 2014]
Mark Costley joins Ballard Spahr [Published HousingWire.com - Aug 11 2014]
Investment Management Attorney Mark Costley Joi... [Published Ballard Spahr - Aug 11 2014]
Appointment of Prime Broker [Published MoneyAM - Aug 11 2014]
Zosano Pharma Corp. Files SEC Form CERTNAS, Cer... [Published Pharmacy Choice - Aug 07 2014]
HCA Inc. Leads The 20 Best Value Bond Trades Wi... [Published Seeking Alpha - Aug 05 2014]
Fulton County investment advisor sentenced to 2... [Published United States Department of Justice - Jul 31 2014]
Man Sentenced to 262 Months in Elaborate Invest... [Published NBC25 - Jul 31 2014]
Federal judge sentences investment advisor to m... [Published PennLive.com - Jul 31 2014]
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Blogs

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Successful ecommerce takes more than online pre... [Published Venturebeat - Aug 27 2014]
Image Credit: Irrational cat via Flickr “Be disrupted, or disrupt yourself,” says Mike Stiller, associate director of corporate solutions at NASDAQ, in a phone call with VentureBeat. That’s the key takeaway from a new study he co-authored on ecommerce ...
Helen Davis Chaitman on "In Bed with Wall Street" [Published Zero Hedge - Aug 14 2014]
Helen Davis Chaitman is a well-known attorney with extensive experience in the areas of lender liability, bankruptcy, bank fraud, RICO, professional malpractice, trusts and estates, and white collar defense. The National Law Journal named her as one ...
Meet The Executives Of The Mysterious Social Ne... [Published Clusterstock - Jul 14 2014]
Some of the people associated with CYNK, the mysterious social networking company that generated headlines last week when its stock surged 25,000% in just 16 trading days, have worked together before. And one of them has been associated with an allegedly ...
5 Years Ago Bernie Madoff Was Sentenced to 150 ... [Published Clusterstock - Jul 01 2014]
Five years ago Sunday, Bernie Madoff was sentenced to 150 years in prison for running the biggest fraudulent scheme in U.S. history. Even now, only a few of his victims have since regained all of their losses. A well-respected financier, Madoff ...
All The Presidents' Bankers: The Hidden Allianc... [Published Zero Hedge - Apr 06 2014]
The following is an excerpt from ALL THE PRESIDENTS’ BANKERS: The Hidden Alliances that Drive American Power by Nomi Prins (on sale April 8, 2014).  Reprinted with permission from Nation Books. Nomi Prins is a former managing director at Goldman Sachs. ...
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Press Releases

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Fusion Resources, LLC Sets the Stage for Nation... [Published GlobeNewswire: Acquisitions News - May 28 2014]
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