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The Key Group Inc.

The Key Group Inc. (CRD #42373, Ramsey, New Jersey) received a censure and fine of $7,000, fined $4,180, jointly and severally, and required to pay $3,320, plus interest, in restitution to public customers. According to the findings, the firm effected transactions for public customers of various municipal bonds on a principal basis at prices that were not fair and reasonable without taking into consideration all relevant factors. Additionally, the NASD also found that the firm failed to establish, maintain, and enforce written supervisory procedures adequately designed to ensure compliance with the Municipal Securities Rulemaking Board (MSRB) Rule concerning municipal markups. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #C9B020051)

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