SI
SI
discoversearch

We've detected that you're using an ad content blocking browser plug-in or feature. Ads provide a critical source of revenue to the continued operation of Silicon Investor.  We ask that you disable ad blocking while on Silicon Investor in the best interests of our community.  If you are not using an ad blocker but are still receiving this message, make sure your browser's tracking protection is set to the 'standard' level.
Non-Tech : Auric Goldfinger's Short List
 Public ReplyPrvt ReplyMark as Last ReadFilePrevious 10Next 10PreviousNext  
To: afrayem onigwecher who wrote (8769)1/15/2002 2:06:42 PM
From: StockDung   of 19428
 
International Securities Corporation (CRD #36023, New York, New York)
submitted a Letter of Acceptance, Waiver, and Consent in which the firm was
censured and fined $12,500. Without admitting or denying the allegations, the
firm consented to the described sanctions and to the entry of findings that it failed
to report transactions to Automated Confirmation Transaction ServiceSM
(ACTSM) within 90 seconds after execution, constituting a pattern or practice of
late reporting without exceptional circumstances. The findings also stated that the
firm failed to designate as late transactions in over-the-counter equity securities,
Nasdaq SmallCapSM securities, and Nasdaq National Market (NNM) securities
within 90 seconds after execution to ACT. (NASD Case #CMS010178)

brokers.nasdr.com
Report TOU ViolationShare This Post
 Public ReplyPrvt ReplyMark as Last ReadFilePrevious 10Next 10PreviousNext  

HomeMailHotSubjectMarksPeopleMarksKeepersSettings
Terms Of UseContact UsCopyright/IP PolicyPrivacy PolicyAbout UsFAQAdvertise on SI
© 2025 Knight Sac Media.  Data provided by Twelve Data, Alpha Vantage, and CityFALCON News