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U.S. Trading Corp.

U.S. Trading Corp. (CRD #37426, Garden City, 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 short sales. 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. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #CMS030075)

Did U.S. Trading Corp. manage your investments?



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