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Trautman Wasserman & Company, Inc.

Trautman Wasserman & Company, Inc. (CRD #33007, New York, New York) received a censure and fine of $17,500. According to the NASD, the firm failed to show the correct time of execution on the memorandum of broker orders involving Nasdaq National Market(r) (NNM(r)) securities and over-the-counter (OTC) transactions and failed to preserve for a period of not less than three years, the memorandum of a brokerage order involving an OTC transaction. Additionally, the regulators found that the firm failed to show the time of execution, or the correct time of execution, on brokerage order memoranda and failed to preserve brokerage order memoranda for a period of not less than three years. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #C10010135)

Did Trautman Wasserman & Company, Inc. manage your investments?



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