Maidstone Financial Fined, Expelled; Four Brokers Also Settle Fraud Charges; Investors to Receive Restitution.

Business Wire | June 24, 1998 | Copyright

WASHINGTON--(BUSINESS WIRE)--June 24, 1998--NASD Regulation, Inc., today expelled Maidstone Financial Inc., from the National Association of Securities Dealers (NASD) and sanctioned two of its senior executives - along with two more senior executives of HGI Inc. (formerly known as the Harriman Group) - in connection with fraud in the underwriting of three securities. Maidstone and the four individuals, all of whom were barred, were fined a total of $14.8 million.

Nearly $1 million has already been deposited by the four executives into an escrow account for ...

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