SECURITIES INDUSTRY COMMENTATORô
you've heard the news about Wall Street --- now learn what it really means

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REGULATORY CASES OF NOTE

NASD, INC.

2003 CASES OF NOTE

2002 CASES OF NOTE

NEW YORK STOCK EXCHANGE, INC.

2003 CASES OF NOTE

2002 CASES OF NOTE

STATUTORY DISQUALIFICATION DECISIONS

NASD PRIVATE SECURITIES TRANSACTIONS ACTIONS

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UNDISCLOSED CUSTOMER SETTLEMENTS

USING ANOTHER'S REGISTRATION

FORM U4/ U5 AND RE-3 ACTIONS

CONTINUING EDUCATION 

SHORT SELLING

RESEARCH

 

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SECURITIES INDUSTRY COMMENTATORô©2002 Bill Singer 

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© 2002 BILL SINGER