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NASD Expels Barron Chase Securities
The NASD has expelled Barron Chase Securities as well as principal Robert Thomas Kirk, Jr. Principal Brian Dean Fitzgerald was fined and suspended for 30 days.
The sanctions resulted from the firm's and Mr. Kirk's failing to ensure that IPO prospectuses were not misleading, as well as numerous other violations in connection with their IPOs.
Source: Wall Street Journal, May 1, 2002
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