Broker-Dealer Profiles

LAWRENCE MATHEW SCHULDER CRD# 3010726

Regulatory 06/14/2006

NASD

NASD RULES 2110 AND 3110: RESPONDENT, ACTING ON BEHALF OF THE FIRM, CONDUCTED A SECURITIES BUSINESS WHEN ITS NET CAPITAL FELL BELOW THE MINIMUM AMOUNT REQUIRED UNDER SEC RULE 15C3-1; AND PREPARED INACCURATE NET CAPITAL COMPUTATION.

Acceptance, Waiver & Consent(AWC)

Censure


Civil and Administrative Penalty(ies)/Fine(s)

Pages