NASD Bars Ex-Banker Quattrone for Life
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The NASD on Monday permanently barred former star technology banker Frank Quattrone from the securities industry for refusing to testify about his possible role in destroying documents and obstructing justice.
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A former chief financial officer of the Cendant Corporation was spared jail time as he became the final defendant sentenced in an accounting scandal.
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Frank P. Quattrone, the banker whose deal making helped fuel the 1990Âs technology boom, is expected to receive a sentence of 16 months.
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Former star investment banker Frank  Quattrone asked an appeals court on Thursday to overturn his  obstruction of justice conviction, saying the trial was  "palpably" unfair and the judge favored the prosecution.
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The New York Stock Exchange on  Wednesday said it permanently barred a former Van der Moolen  Specialists USA VDMN.AS trader, the first individual to be  punished as part of a broader probe by regulators into NYSE  floor-trading abuses.
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A former Credit Suisse banker accused of leaking confidential information about several major deals was convicted in Federal District Court in Manhattan.
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TOPEKA, Kan., Feb. 5  â A federal judge on Monday sentenced the former chief executive of Westar Energy, David C. Wittig, to 24 months in prison for bank fraud, cutting his sentence by more than half.
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NEW YORK: The NASD yesterday said it censured and fined 29 securities firms a total of $US9.22 ($NZ13.04) million for failing to properly disclose required information about their brokers more than 8300 times.
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The NASD said Wednesday that it had fined Wells Fargo and its former director of research for failing to disclose that an analyst had taken a job with the company she was recommending.
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Frank Quattrone, a former star  investment banker who once earned $120 million in a year, will  be sentenced on Wednesday for obstructing a federal  investigation into some of the most popular stock offerings of  the 1990s.
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A broker-dealer firm sued brokerages  watchdog NASD and the New York Stock Exchange on Friday to  block a deal to merge oversight functions, saying the  arrangement would be unfair to NASD members.
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As the consummate &quot;corporate wife,&quot; Denise Foderaro backed Frank Quattrone as he climbed the rungs to the pinnacle of Wall Street.
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Former investment banker Frank Quattrone was sentenced on Wednesday to 18 months in prison, two months more than the harshest recommended penalty, for obstructing probes
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KANSAS CITY, Missouri  - A federal judge resentenced David Wittig, the former chief executive of Westar Energy Inc. , to 24 months in prison for bank fraud on Monday.
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WASHINGTON - Peter Bacanovic, Martha Stewart&#39;s convicted co-defendant and former Merrill Lynch stock broker, has agreed to being barred from association with any broker, dealer or investment adviser, the US Securities and Exchange Commission said Monday
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Frank Quattrone, considered the most prominent investment banker of the 1990s technology boom, has been sentenced to 18 months in prison.
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BRIDGEPORT, Conn., Jan. 29  â Two former executives were spared prison time on Monday for their roles in an accounting scandal at the Cendant Corporation that cost the company and its investors more than $3 billion.