Broker Fined $10,000
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NEWPORT BEACH — Orange County broker Ashton N. Gowadia was fined $10,000, suspended for one year and required to requalify as a general securities representative. Gowadia, of Newport Beach, was sanctioned for failing to respond to requests for information from the National Assn. of Securities Dealers, which regulates the nation’s brokers.
The sanctions were issued by NASD Regulations Inc., the association’s enforcement arm.
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