Organization and Management: When CEOs Behave Badly...
DWT Annual Review 2005
Some of the highlights include a $1.4 million fine by the National Associationof Securities Dealers (NASD) against State Street Global Markets. The recordfine against the subsidiary of State Street Corp. was for violations relatingto the reporting of corporate and municipal bond trades. The fine was the largestto date "against a single firm for fixed income trade
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