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Barry Goldsmith

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BUSINESS
January 19, 2006 | From Reuters
Barry Goldsmith, enforcement chief of brokerage regulator NASD, will step down in mid-March to return to private law practice, and his deputy was named as his acting replacement, NASD said Wednesday. Goldsmith, 56, will become a partner at law firm Gibson Dunn & Crutcher in Washington, the regulator said. He joined NASD, then known as the National Assn. of Securities Dealers, in 1996.
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BUSINESS
January 19, 2006 | From Reuters
Barry Goldsmith, enforcement chief of brokerage regulator NASD, will step down in mid-March to return to private law practice, and his deputy was named as his acting replacement, NASD said Wednesday. Goldsmith, 56, will become a partner at law firm Gibson Dunn & Crutcher in Washington, the regulator said. He joined NASD, then known as the National Assn. of Securities Dealers, in 1996.
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BUSINESS
June 25, 1996 | Times Staff and Wire Reports
NASD Selects Enforcement Official: The National Assn. of Securities Dealers named Barry Goldsmith, the Securities and Exchange Commission's top trial counsel, to its new position of national enforcement director. The post was created last month by the new regulatory board of the NASD, the self-policing industry body, as part of a broader effort to crack down on problem brokers.
BUSINESS
June 25, 1996 | Times Staff and Wire Reports
NASD Selects Enforcement Official: The National Assn. of Securities Dealers named Barry Goldsmith, the Securities and Exchange Commission's top trial counsel, to its new position of national enforcement director. The post was created last month by the new regulatory board of the NASD, the self-policing industry body, as part of a broader effort to crack down on problem brokers.
BUSINESS
December 6, 1996 | Times Staff and Wire Reports
Stratton Oakmont, a brokerage firm with a long disciplinary history, was expelled from the industry, the National Assn. of Securities Dealers said. The Lake Success, N.Y., firm may have appealed to the Securities and Exchange Commission, said Mary Schapiro, president of NASD Regulation Inc. The SEC could overrule the expulsion, but it wasn't immediately known how the agency would act. The company and two executives were charged with fraudulent and excessive markups on securities.
BUSINESS
June 25, 1996 | From Bloomberg Business News
The National Assn. of Securities Dealers on Monday named Barry Goldsmith, the Securities and Exchange Commission's top trial counsel, to its new position of national enforcement director. The post was created last month by the new regulatory board of the NASD, the self-policing industry body, as part of a broader effort to crack down on problem brokers. Goldsmith, 46, who has headed the SEC's trial unit for three years, will set national goals and priorities for NASD's 11 enforcement districts.
BUSINESS
October 20, 2005 | From Bloomberg News
Green Street Advisors, the Newport Beach-based commercial real estate consulting firm, agreed to pay $150,000 to settle NASD claims it had issued research reports prepared by eight unregistered analysts. Green Street, which didn't admit or deny wrongdoing, issued more than 120 reports written last year by the analysts who hadn't taken required exams or registered with NASD, the regulator said Wednesday.
BUSINESS
September 30, 2005 | From Bloomberg News
Brokerage Edward Jones & Co. was fined $300,000 by NASD for failing to disclose yields to clients who sold municipal bonds. The firm didn't provide the information in more than 86,000 trades worth more than $1.6 billion from January 2003 to April 2004, said NASD, the self-regulatory group formerly known as the National Assn. of Securities Dealers. The lack of disclosure "deprived these selling customers of critical information," NASD enforcement chief Barry Goldsmith said Thursday. St.
BUSINESS
December 16, 1988 | Associated Press
Three people were charged Thursday with defrauding investors in a start-up jewelry company of $640,000 in a case involving a New York brokerage already under scrutiny by federal authorities, the U.S. attorney said. Stock of the jewelry company, Renaissance Enterprises, was underwritten by Monarch Funding Inc. of New York.
BUSINESS
October 11, 2005 | From Bloomberg News
NASD said it fined eight brokerages, including U.S. units of Prudential and Lord Abbett & Co., almost $7.8 million for taking kickbacks from mutual funds. Commonwealth Financial Network, Mutual Service Corp., Lincoln Financial Advisors Corp., Lord Abbett Distributor and four Prudential units steered clients into preferred funds in return for payments, NASD said in a statement Monday. In return, the fund firms sent their trading business to the brokerages, the regulator said.
BUSINESS
June 29, 1993 | From Associated Press
Michael Milken returned to federal court Monday and helped two former clients, Victor and Steven Posner, by testifying that he did not inform them of an illegal arrangement with stock speculator Ivan F. Boesky. Milken, 46, who completed a prison sentence earlier this year, spent nearly 2 1/2 hours on the witness stand in U.S. District Court in Manhattan, recalling his role in the 1984 takeover attempt of Fischbach Corp.
BUSINESS
December 30, 2004 | From Reuters
The NASD on Wednesday said it had collected a record $102 million in disciplinary fines in 2004, triple the amount collected last year, for infractions including improper mutual fund trading, variable annuity abuses and client overcharges. The Washington-based brokerage industry regulator also said it had filed 1,360 enforcement actions and barred or suspended 830 people from the industry in 2004, roughly the same as in 2003.
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