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Trident Securities, Inc.

Trident Securities, Inc. (CRD #566, Cleveland, Ohio) received a censure and fine of $10,000. Additionally, the firm was required to revise the firm's written supervisory procedures with respect to firm quote rules. According to the findings, the firm, while acting as a registered market maker in securities, it failed to execute the orders presented to the firm at its published bid or offer in an amount up to its published quotation size upon presentment, and thereby failed to honor its published quotation. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #CMS020100)

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