EarlyBirdCapital, Inc. (CRD #28629, New York, New York) received a censure and fine of $19,500. According to the findings, the firm permitted individuals to engage in activities that required a general securities principal registration when they did not hold such registration. Additionally, the firm used a bank account owned by an affiliated broker/dealer to hold investors' funds in connection with a private placement of securities. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #C10020070)
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