The Banksters
0x3…6f4
ERC721
The Securities and Exchange Commission, the New York Stock Exchange and NASD today announced joint 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.
Name
1443
Owner
0x7a1c5e9dc063a6915855247E96eFAb3CfC20ad9D
ID#1443
Rarity
LO:72%
Parent Company
Morgan Stanley
EX:5%
Company
Salomon Smith Barney Inc.
EX:MAX
Violation
Recordkeeping Violations
EX:1%
Penalty
$1,650,000.00
EX:1%
Year
2002