BNEZ Facts Thread: Ben Ezra, Weinstein and Company, Inc. Message Board

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Microcap & Penny Stocks : BNEZ Facts Thread: Ben Ezra, Weinstein and Company, Inc.

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Sep 18 5:00 PM EST

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To: Ellen who wrote (37)	12/16/1998 5:57:00 PM
From: Ellen	of 86

MEMBER FIRM: GVR COMPANY BD NUMBER: 31172 NASD Member Firm: GVR COMPANY BD Number: 31172 12/15/98 SUMMARY INFORMATION 12/15/98: 1/23/97 NASD CENSURE AND FINE OFFER OF SETTLEMENT; CENSURED AND FINED $2,500, JOINTLY AND SEVERALLY BY THE NASD. THE NASD FILED A COMPLAINT AGAINST FIRM ALLEGING VIOLATIONS OF NASD RULES 2110 AND 3010 (FORMERLY ARTICLE III, SECTIONS 1 AND 27 OF THE RULES OF FAIR PRACTICE) IN THAT A CERTAIN INDIVIDUAL WAS ENGAGED IN THE INVESTMENT BANKING OR SECURITIES BUSINESS OF MEMBER FIRM DESPITE THE FACT THAT HE WAS NOT EFFECTIVELY QUALIFIED AND/OR REGISTERED WITH THE NASD IN AN APPROPRIATE CAPACITY; AND, MEMBER FIRM, ACTING THROUGH A CERTAIN INDIVIDUAL, FAILED TO ADEQUATELY SUPERVISE THE ACTIVITIES OF A CERTAIN INDIVIDUAL. [NASD COMPLAINT NO. C8A960048] 1

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