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Wilson-Davis & Co., Inc.

Wilson-Davis & Co., Inc. (CRD #3777, Salt Lake City, Utah) received a censure and fine of $36,000. According to the findings, the firm executed short-sale orders and transactions in certain securities and failed to maintain a written record of the affirmative determination made for such orders. The firm also failed to make an affirmative determination prior to executing such transactions. The firm accepted the fine and censure but did not admit or deny the accusations.

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