Violation Tracker Individual Record
NASD censured and fined 29 securities firms over $9.2 million for more than 8,000 late disclosures of reportable information about their brokers, including customer complaints, regulatory actions, and criminal charges and convictions.
NASD Fines 29 Firms over $9.2 Million for Late Reporting, PR Newswire, November 30, 2004 (via Nexis).
FINRA is a securities industry self-regulatory body authorized by the federal government. This case was handled by its predecessor, the National Association of Securities Dealers (NASD).