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Utendahl Capital Partners, L.P.

Utendahl Capital Partners, L.P. (CRD #30115, New York, New York) received a censure and fine of $12,000. According to the findings, the firm failed, prior to the execution of transactions with two hot issues, to obtain proper documentation as to the beneficial owners for corporate accounts or investment partnership accounts. Additionally, the NASD found that the firm failed to comply with the Firm Element of NASD's Continuing Education Requirements, in that the firm did not have any documentation evidencing that it implemented its training plan. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #C10020039)

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