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C.E. Unterberg, Towbin

C.E. Unterberg, Towbin (CRD #24790, New York, New York) received a censure and fine of $14,000. According to the findings, the firm sold shares of initial public offerings (IPOs) to investment partnerships or corporations when the shares traded at a premium in the immediate secondary market and prior to the execution of the transactions, the firm failed to obtain the required documentation concerning persons having any beneficial interests in the accounts. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #C10030008)

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