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T.R. Winston & Company, Inc.

T.R. Winston & Company, Inc. (CRD #10571, Bedminster, New Jersey) received a censure and fine $20,000. According to the regulators, the firm failed to report transactions in Nasdaq SmallCapSM and Nasdaq National Marketé (NNM) securities within 90 seconds. Additionally, the firm failed to accept or decline transactions in ACT eligible securities within 20 minutes of execution. Apparently, the firm failed to establish, maintain, and enforce sufficient written supervisory procedures regarding its trading and market-making operations. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #C9B010005)

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