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9/08/2005
SCB Analyst Receives Warning of Potential Enforcement Action from the NASD
SCB Analyst Receives Warning of Potential Enforcement Action from the NASD
Via the New York Post:
-- MDT
NASD Warns AnalystThe original article appears here.
September 7, 2005
Bloomberg
Sanford C. Bernstein & Co.'s Brad Hintz, the third-ranked U.S. analyst for brokerages in Institutional Investor's annual survey, may be sanctioned by the NASD for trading shares of Wall Street firms he covered, according to a regulatory filing.
"NASD notified Mr. Hintz that the NASD enforcement staff was recommending that enforcement actions be commenced against him," Hintz said in an Aug. 31 NASD filing. "Mr. Hintz had written research reports that announced the suspension of SCB LLC's and Mr. Hintz's coverage of certain securities, and he subsequently sold personal holdings in the same securities." SCB LLC is Sanford C. Bernstein & Co.
-- MDT
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