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Dalton Kent Securities Group, Inc.

Dalton Kent Securities Group, Inc. (CRD #38813, New York, New York) received a censure and fine of $18,000. According to the findings, the regulators found that the firm failed to timely report to the NASD statistical and summary information relating to the receipt of written customer complaints. Additionally, the NASD found that the firm failed to establish, maintain, and enforce written supervisory procedures concerning the firm's obligation to file statistical and summary information regarding customer complaints. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #C10010020)

Did Dalton Kent Securities Group, Inc. manage your investments?



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