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Huberman Financial Inc.

Huberman Financial Inc. (CRD #28760, Dallas, Texas) received a censure and fine of $20,000. According to the findings, the firm, while acting as a market maker in securities, caused a locked/crossed market condition prior to the market opening by entering a bid (ask) quotation that locked/crossed another market makerís quotations without immediately thereafter sending through SelectNet to the market maker(s) whose quote(s) it locked or crossed a Trade-or-Move message(s) that was at the receiving market makerís quoted price and whose aggregate size was at least 5,000 shares. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #CMS030136)

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