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Rom-Bo Trading Co.

Rom-Bo Trading Co. (CRD #37554, Chicago, Illinois) received a censure and fine of $10,000. According to the findings, the firm executed short-sale transactions in certain securities, all of which were NNM securities at or below the current inside bid when the current inside bid was below the preceding inside bid in the security. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #CMS010159)

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