Friday, Sep 30, 2016
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Toledo broker fined, sanctioned by NASD

The National Association of Securities Dealers' regulatory arm has fined a Toledo broker $2,500 for not responding to the association's information requests in a timely matter.

Steven Floyd Smithson also was suspended from associating with any association member for 30 days, which expired this week. He consented to the sanctions and findings without admitting or denying the allegations, according to NASD Regulation.

Mr. Smithson could not be reached for comment yesterday.

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