Securites Fraud Attorneys SHEPHERD, SMITH & EDWARDS, LLP
stock fraud online consultations
Skip to main content
about Our Stock Attorneys contact stock lawyers securities arbitration questions Securities fraud news Broker Misconduct Resources and links about investment protection en Espanol
Free Consultation

or call
1-800-259-9010


Terra Nova Trading, LLC

Terra Nova Trading, LLC (CRD #37761, Chicago, Illinois) received a censure and fine of $12,500, and required to revise its written supervisory procedures with respect to compliance with OATS reporting. According to the findings, the firm failed to transmit to OATS in a timely manner any order data for its orders for equity securities traded on The Nasdaq Stock Market, and transmitted reports to OATS containing inaccurate data as to the limit order display indicator and the routing method code with respect to orders for equity securities traded on The Nasdaq Stock Market. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #CMS020029)

Did Terra Nova Trading, LLC manage your investments?

 

 

If you would like one of our specialists to provide a free consultation, please let us know how to reach you:

 Your Name

 Your Phone

 Your Question / Situation