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Keane Securities Co., Inc.

Keane Securities Co., Inc. (CRD #8452, New York, New York) received a censure and fine of $25,000. According to the findings, the firm failed to transmit through ACT last-sale reports of transactions in NASDAQ National Market(r) (NNM(r)) and SmallCapSM securities, and failed to designate through ACT such last-sale reports as late. In addition, NASD found that the firm failed to report the time of execution through ACT in late, last-sale reports of transactions in NNM securities. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #CMS020127)

Did Keane Securities Co., Inc. manage your investments?

 

 

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