Folks:

I'm off to the beach for my summer vacation.  So here are the most recent NASD cases for your reading pleasure.  We're seeing some intereting "parking" cases rearing their heads again -- looks like NASD is targeting this old-time area.  There are also a number of Web Site cases involving lax supervision, and some private email problems.

Enjoy what's left of your summer.

All my best!

Bill

http://rrbdlaw.com/RegulatoryLinks/CASESOFNOTE/NASD/2007.htm