Securites Fraud Attorneys SHEPHERD, SMITH & EDWARDS, LLP
stock fraud online consultations
Skip to main content
about Our Stock Attorneys contact stock lawyers securities arbitration questions Securities fraud news Broker Misconduct Resources and links about investment protection en Espanol
Free Consultation

or call

Track Data Securities Corporation

Track Data Securities Corporation (CRD #103802, Brooklyn, New Jersey) received a censure and fine of $10,000. The firm was also required, within 30 days, to revise its written supervisory procedures concerning the OATS rule. According to the findings, the firm failed to submit to OATS required information on 126 business days. The regulators also found that firm's supervisory system did not provide for supervision adequately designed to achieve compliance with applicable securities laws, regulations, and NASD rules concerning OATS. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #CMS030084)

Did Track Data Securities Corporation manage your investments?



If you would like one of our specialists to provide a free consultation, please let us know how to reach you:

 Your Name

 Your Phone

 Your Question / Situation