NASD disciplines two from Westchester
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- October
- 1
Two Westchester County men have been disciplined by the National Association of Securities Dealers for violations of agency rules.
Harvey A. Wall of Rye Brook was suspended for 30 days and fined $4,000.
Wall, an owner of Capital Markets America Inc., failed to obtain written consent from more than 50 people before conducting on-line searches for data on the individuals at an NASD depository, the agency said.
Wall neither admitted nor denied the agency’s allegations. He is unlisted and could not be reached for comment. The suspension ended Sept. 18.
The NASD also permanently barred Noel Andrew Dent Jr. of Bronxville from involvement with NASD-affiliated brokerages after he failed to respond to agency requests for information. Dent could not be located for comment.
This entry was posted
on Monday, October 1st, 2007 at 5:51 pm by Jerry Gleeson.
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