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Industry Spotlight > Broker Dealers

Dealer Fines Increase: NASD

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NU Online News Service, Dec. 29, 2004, 3:15 p.m.

The National Association of Securities Dealers collected more fines from companies and individuals in the industry than ever this year, despite a decline in the number of enforcement actions taken.[@@]

The NASD, Washington, collected more than $102 million in disciplinary fines from securities firms, up from $33 million last year. It filed a total of 1,360 enforcement actions, down from 1,410 last year, and barred or suspended 830 individuals from the industry, 1 less than last year.


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