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The Fleet Trading Division of Fleet Securities

The Fleet Trading Division of Fleet Securities (CRD #13071, Jersey City, New Jersey) received a censure and fine of $55,000. According to the regulators, the firm failed to execute orders presented at the firm's published bid or published offer in an amount up to its published quotation size and, thereby, failed to honor its published quotation. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #CMS010005)

Did The Fleet Trading Division of Fleet Securities manage your investments?

 

 

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