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Wien Securities Corp.

Wien Securities Corp. (CRD #10467, Jersey City, New Jersey) received a censure and fine of $82,500. According to the findings, the firm failed to display immediately the customer limit orders in NASDAQ securities in its public quotation, when each such order was at a price that would have improved the firm's bid or offer in each such security. The regulators also found that the firm failed to execute orders presented at the firm's published bid or published offer in an amount up to its published quotation size, and thereby failed to honor its published quotation. The firm accepted the fine and censure but did not admit or deny the accusations.

Did Wien Securities Corp. manage your investments?



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