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Consultiva Securities, Inc.

Consultiva Securities, Inc. (CRD #103818, Hato Rey, Puerto Rico) received a censure and fine of $5,000, jointly and severally, and fined $7,500 individually. According to the findings, the firm failed to establish, maintain, and enforce adequate written supervisory procedures reasonably designed to ensure compliance with NASD Rule 1120. Additionally, the firm permitted an officer of the firm to engage in a securities business while her registrations were inactive after failing to complete the Regulatory Element of NASD's Continuing Education requirements. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #C07020063)

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