Securites Fraud Attorneys SHEPHERD, SMITH & EDWARDS, LLP
stock fraud online consultations
Skip to main content
about Our Stock Attorneys contact stock lawyers securities arbitration questions Securities fraud news Broker Misconduct Resources and links about investment protection en Espanol
Free Consultation

or call

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?



If you would like one of our specialists to provide a free consultation, please let us know how to reach you:

 Your Name

 Your Phone

 Your Question / Situation