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Ryan, Beck & Co., LLC

Ryan, Beck & Co., LLC (CRD #3248, Livingston, New Jersey) received a censure and fine of $31,000. According to the findings, the firm failed to report OTC transactions in high-yield securities that are not otherwise reported during the operating hours of Fixed Income Pricing SystemSM (FIPSSM) or that are not executed through FIPS. Additionally, the NASD found that the firm failed to accurately prepare order memoranda ("order tickets"), in that the firm failed to memorialize the time of entry and/or the correct time of execution of order tickets for equity and high-yield fixed income securities transactions, and failed to maintain order tickets for transactions in high-yield fixed income securities. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #C8A020046)

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