投资者律师博客NASD听力小组制裁前骑士证券主管执行于监督失败bob200体育
An NASD Hearing Panel issued $100,000 in fines against Kenneth Pasternak, former CEO of Knight Securities, L.P. (now known as Knight Equity Markets, L.P.), and John Leighton, former head of the firm’s Institutional Sales Desk, for supervisory violations in connection with fraudulent sales to institutional customers in 1999 and 2000.
此外，帕斯特纳克（Pasternak）在所有监督能力中被暂停两年，而莱顿（Leighton）被禁止所有监督能力。
2005年3月，NASD的市场法规指控Pasternak和Leighton未能监督该公司领先的机构销售商人Joseph Leighton，后者是John Leighton的兄弟。NASD投诉还指控Pasternak未能建立和执行旨在确保遵守联邦证券法和NASD规则的监督系统。bob200体育