Broker Suspended in Alleged Market Timing: The NASD takes action.
.also was fined $300,000 Thursday and ordered to pay almost $300,000 in restitution to the funds affected by the deceptive market timing.
NASD fines H&R Block unit for market timing - 2004-12-21
Securities Dealers has censured and fined H&R Block Inc.'s financial services unit for what the agency called deceptive market timing activity.
ContraCostaTimes.com | 03/08/2004 | Funds deploy novel defense in.
Funds deploy novel defense in market timing cases By Tom Lauricella WALL STREET JOURNAL. was done in a manner that was deceptive," says Stephen.
Davenport & Co. fined for allegedly allowing improper market-timing
.of individual brokers and other parties involved in the alleged improper market-timing continues. "Deceptive market-timing in variable annuity.
NASD Orders First-Ever Suspension of Mutual Fund Business and.
First-Ever Suspension of Mutual Fund Business and $600,000 in Sanctions Against National Securities Corp. for Deceptive Market Timing Practices.
NASD Fines Davenport & Co. in First Case of Deceptive Market Timing.
WASHINGTON, June 1 /PRNewswire/ -- In the first case ever brought against a broker-dealer for facilitating deceptive market timing in variable
CIBC Hedge Fund Financier Charged in Market-Timing Case
.complaint, alleged that CIBC assisted hedge fund clients in "engaging in late trading and deceptive market timing of mutual fund shares.''
SEC Charges Former CIBC Managing Director With Fraud
.others were able to engage in late trading and to use deceptive means to evade the mutual funds' efforts to detect and prevent market timing.
Davenport Fined in Improper Market-Timing
"Deceptive market-timing in variable annuity (accounts) can dilute the value of those shares, raise transaction costs and thus harm other.
SEC Charges Dallas Investment Complex and Three of its Officers with.
.and Leftwich devised and perpetrated a number of deceptive acts and practices to conceal their clients' market timing activities from those.

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