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Carlin Equities Corp.

Carlin Equities Corp. (CRD #31295, New York, New York) received a censure and fine of $10,000. The firm was also required, within 30 business days, to revise its written supervisory procedures concerning NASD's bid-test rule. According to the findings, the firm executed short-sale transactions in NNM securities at or below the current inside bid when the current inside bid was below the preceding inside bid in the security. Additionally, the regulators found that the firm's supervisory system did not provide for supervision reasonably designed to achieve compliance with applicable securities laws and regulations concerning the bid-test rule. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #CMS030074)

Did Carlin Equities Corp. manage your investments?



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