(Reuters) - Julie Mains, chief compliance officer, confirmed the
contents of the e-mail.
"We were in capital violation as of yesterday," said Mains
in an interview. She said the NASD told the firm it could only
sell securities and not make buy orders on behalf of clients."
Read more at Reuters.com Mergers News
contents of the e-mail.
"We were in capital violation as of yesterday," said Mains
in an interview. She said the NASD told the firm it could only
sell securities and not make buy orders on behalf of clients."
Read more at Reuters.com Mergers News
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