ERC721

NASD announced actions against five broker-dealers for violations of record-keeping requirements concerning e-mail communications. The firms consented to the imposition of fines totaling $8.25 million, along with a requirement to review their procedures to ensure compliance with record-keeping statutes and rules. The case was brought jointly with the SEC, which also announced the penalty: For more info visit https://web.archive.org/web/20041019225635/http://www.nasdr.com/news/pr2002/release_02_062.html https://www.sec.gov/news/press/2002-173.htm

Name

1329

Owner

0x409aB0A9917F6a675b40755bf73AAB64Ce028c9A

ID#1329

Rarity

LO:74%

Parent Company

Piper Sandler

EX:MAX

Company

U.S. Bancorp Piper Jaffray Inc.

EX:MAX

Violation

Financial Market Violations

X-HI:14%

Penalty

$1,650,000.00

EX:1%

Year

2002