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Sherwood Securities Corp

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October 17, 1995 | SCOT J. PALTROW, TIMES STAFF WRITER
Continuing a crackdown on Nasdaq trading rule violations, the National Assn. of Securities Dealers said Monday that it fined Sherwood Securities Corp. $15,000 for the late reporting of 6,272 trades. New York-based Sherwood, one of the biggest Nasdaq dealers, agreed to the fine without admitting or denying wrongdoing. The NASD alleged that Sherwood was late in reporting more than 8% of its 74,083 trades in Nasdaq stocks during a two-week period in October, 1994.
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BUSINESS
October 17, 1995 | SCOT J. PALTROW, TIMES STAFF WRITER
Continuing a crackdown on Nasdaq trading rule violations, the National Assn. of Securities Dealers said Monday that it fined Sherwood Securities Corp. $15,000 for the late reporting of 6,272 trades. New York-based Sherwood, one of the biggest Nasdaq dealers, agreed to the fine without admitting or denying wrongdoing. The NASD alleged that Sherwood was late in reporting more than 8% of its 74,083 trades in Nasdaq stocks during a two-week period in October, 1994.
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BUSINESS
November 11, 1986
WCS International, an Anaheim scrap metal exporter, said it has filed a registration statement with the Securities and Exchange Commission for the sale of 3 million shares and 1.5 million warrants in an effort to raise from $12 million to $15 million. The company, whose name is being changed to Adams International Metals Corp., wants to sell the shares and warrants in an offering of 1.5 million units.
BUSINESS
August 8, 1997 | From Bloomberg News
Three more brokerages--Jefferies & Co., Cantor Fitzgerald and Montgomery Securities--agreed to pay a total of $45 million to settle a 1994 class-action lawsuit that alleged price-fixing on the Nasdaq Stock Market, attorneys said Thursday. With the latest settlements, six of the 37 brokerages named in the suit have agreed since April to pay $98.9 million overall to settle the complaint. Other settlements are expected in the next few weeks, said investor attorney Robert A. Skirnick.
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