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Citistreet Equities, LLC

Citistreet Equities, LLC (CRD #7447, East Brunswick, New Jersey) received a censure and fine of $20,000. According to the findings, the firm failed to enforce its written supervisory procedures regarding the review of mutual fund and variable annuity transactions. Additionally, the firm failed to obtain principal review of variable annuity and mutual fund transactions. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #C9B030015)

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