Maybe it's this Barington Capital?:
Firms Fined
Barington Capital Group, L.P. (CRD #29383, New York, New York) submitted a Letter of Acceptance, Waiver, and Consent pursuant to which the firm was censured and fined $23,500, and fined $2,000, jointly and severally with an individual. In addition, the firm was required to pay $3,815 in restitution to public customers. Without admitting or denying the allegations, the firm consented to the described sanctions and to the entry of findings that it failed to implement and enforce adequate written supervisory procedures reasonably designed to achieve compliance with applicable securities laws and regulations, and submitted inaccurate free-riding questionnaires to the NASD for several offerings. In addition, the firm failed to obtain required documentation on a timely basis in connection with “hot issue” purchases by customer accounts. The findings also stated that the firm participated in contingency offerings, failed to deposit investor funds in an independent escrow account, and failed to include in the private placement memoranda a statement that persons associated with the firm would be purchasing a portion of the offering. In addition, the NASD determined that the firm failed to execute customer limit orders in some instances and to timely execute other customer limit orders in others. (NASD Case #C04990018)
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