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Articles 1-16 out of 16 article(s) Title Author Type Date Words How Pax came to alter its investment rules: after an SEC probe, the socially responsible mutual fund has designed more flexible standards. Sanders, Bob Case overview Aug 15, 2008 1430 SEC Brings Its First Ever Enforcement Action Under The USA PATRIOT Act Against Crowell, Weedon & Co. Jun 14, 2006 1030 Wedbush fined. Brief Article Feb 6, 2006 100 Buyer beware with bonds. Mysack, Joe Nov 29, 2004 675 Barnett and Comptroller's Office Sign Settlement. Mar 27, 1998 262 Daiwa Securities America to Pay Fine and Restitution. Mar 4, 1998 427 Corporations Commissioner Seeks to Revoke Florida-Based Securities Broker and Bar Owners. Sep 12, 1997 378 NASD Regulation Disciplinary Committee Bars La Jolla Capital From Penny Stock Transactions; And Orders Fines And Restitution Of More Than $950,000. Sep 11, 1997 771 D.H. Blair And Top Officials To Pay $4.9 Million In Fines And Restitution. Aug 13, 1997 706 NASD Regulation, Inc. Bars 20 More Registered Representatives Suspected of Using An Impostor To Take Qualification Examination. Jul 23, 1997 421 NASD Regulation obtains $1 million-plus in restitution for investors from H.J. Meyers; fines of nearly $500,000 imposed. Jul 25, 1996 998 NASD Awards Broker $2,150,000 Based On Merrill Lynch Wrongful Termination. Jul 14, 1996 274 Industry panel levies penalty against brokerage. Cole, Banjamin Mark Jul 8, 1996 766 NASD Fines Piper Jaffray Inc. $1.25 Million for Inadequate Disclosures and Improper Sales Practices. Mar 6, 1996 1209 Refco's statement and response to public release of CFTC settlement. Jan 23, 1996 447 Wall Street firms MERRILL LYNCH and LAZARD FRERES pay over $24 million, change municipal business practices to settle government suits; Millions to be returned to Massachusetts. Oct 26, 1995 1914