Brokerage Firm Fined $2 Million: The National...
From Times Staff and Wire Reports
Brokerage Firm Fined $2 Million: The National Assn. of Securities Dealers has fined Englewood, Colo.-based over-the-counter investment banking firm Stuart-James Co. more than $2 million for overcharging companies. The alleged overcharges involved more than 4,000 stock transactions in 1988, said NASD.
