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One Financial Network, LLC

One Financial Network, LLC (CRD #47966, New York, New York) received a censure and fine of $17,500. According to the findings, the firm was a party to a locked or crossed market condition prior to the market opening, received a Trade-or-Move message in each instance through SelectNet, and within 30 seconds of receiving such messages, failed to fill the incoming Trade-or-Move message for the full size of the message or move its bid down (offer up) by a quotation increment that would have unlocked/uncrossed the market. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #CMS020133)

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