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Microcap & Penny Stocks : BNEZ and PMA; Success in 1999 -- Ignore unavailable to you. Want to Upgrade?

To: Ellen who wrote (1608)	1/11/1999 3:51:00 PM
From: Elio Madama	Respond to of 2648

(REUTERS) Wall St. firms fined in SEC's Nasdaq probe Wall St. firms fined in SEC's Nasdaq probe WASHINGTON, Jan 11 (Reuters) - Following are the 28 Wall Street firms ordered to pay more than $26 million in fines as a result of the Securities and Exchange Commission's investigation into alleged Nasdaq trading violations, announced Monday. The firms are listed according to how much they were told to pay by federal securities regulators. In some cases, only civil penalties were ordered. The amounts shown do not include fines levied against the 51 individuals associated with the firms who were also named in the investigation. PaineWebber Group Inc $6.7 million Warburg Dillon Read LLC $3.6 million S.G. Cowen Securities Corp $1.4 million J.P. Morgan Securities Inc $1.3 million Olde Discount Corp $1.3 million Prudential Securities Inc $1 million Sherwood Securities Corp $1 million Spear Leeds & Kellogg LP $813,439 Salomon Smith Barney Inc (formerly known as Smith Barney Inc) $759,766 Herzog, Heine, Geduld Inc $617,251 Mayer & Schweitzer Inc $588,141 Merrill Lynch Pierce, Fenner & Smith $472,500 Legg Mason Wood Walker Inc $427,305 Raymond James & Associates Inc $407,431 Morgan Stanley & Co Inc $354,170 Piper Jaffray Inc $350,864 Salomon Smith Barney Inc (as successor to Salomon Brothers Inc) $263,222 Donaldson, Lufkin & Jenrette Securities Corp $260,000 Cantor Fitzgerald & Co $246,380 Bear Stearns & Co Inc $225,000 CIBC Oppenheimer Corp $225,000 Lehman Brothers Inc $220,313 Dean Witter Reynolds Inc $189,811 The Robinson-Humphrey Co LLC $151,786 Hambrecht & Quist LLC $150,518 Credit Suisse First Boston Corp $129,413 Jefferies & Co Inc $76,848 Gruntal & Co LLC $50,539 ((Peter Ramjug at Washington newsroom, phone: 202-898-8399 Fax: 202 347-3853, E-Mail peter.ramjug@reuters.com)) REUTERS * end of story *