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Technology Stocks : shopping.com (IBUY)
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To: Sir Auric Goldfinger who wrote (424)12/18/2000 3:41:47 PM
From: Arcane Lore  Read Replies (2) of 435
 
From the NASD Regulation Disciplinary Actions listing for December 2000:

Firm Expelled

Waldron & Co., Inc. (CRD #868, Irvine, California) was expelled from NASD membership. The sanction was based on findings that the firm executed buy-ins of stock when the firm controlled the float of the stock. The findings also stated that the buy-ins were executed by having the firm supply the stock for the buy-ins at prices that far exceeded the inside ask price at the time of the transactions, resulting in unfair profits for the firm. (NASD Case #CAF990023)

nasdr.com
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