NASD Complaints

From: Anthony Cocuzzi (ADC@mwbhl.com)
Date: Wed Apr 10 2002 - 15:18:28 PDT

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I am trying to determine whether NASD complaints are publicly available, and if so, where or how can they can be obtained. Disciplinary actions are available on Lexis and Westlaw, and notices of complaints are listed on the NASD web site, but as far as I can determine, not the actual complaints. (A response to this question from the NASD is pending.)

Has anyone recently tried to obtain copies of NASD complaints?

Thank you.

Anthony D. Cocuzzi
Milberg Weiss Bershad Hynes & Lerach, LLP
New York, NY
adc@mwbhl.com

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