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Terra Nova Trading, L.L.C.

Terra Nova Trading, L.L.C. (CRD #37761, Chicago, Illinois) received a censure and fine of $30,000. According to the findings, the firm published and distributed advertisements and pieces of sales literature that were exaggerated, unwarranted, or misleading. Additionally, the regulators also found that the firm's advertising and sales literature mischaracterized an SEC study and misleadingly suggested that public customers who executed trades through the firm would receive better prices than through most other market participants. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #CAF010022)

Did Terra Nova Trading, L.L.C. manage your investments?



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