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Herzog, Heine, Geduld, LLC

Herzog, Heine, Geduld, LLC (CRD #2186, Jersey City, New Jersey) received a censure and fine of $40,000. According to the findings, the firm, while acting as a market maker in securities, executed customer market orders to sell and buy shares, and customer limit orders to buy shares. Additionally, the regulators found that the firm did not send any SelectNet messages, except one, to buy or sell shares from market makers or electronic communications networks (ECNs) to satisfy its customers' orders. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #CMS020266)

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