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
1-800-259-9010


USB Securities LLC

USB Securities LLC (CRD #7654, Stamford, Connecticut) received a censure and fine of $72,500. According to the findings, the firm, while acting as a market maker in the securities, did not make reasonable efforts to avoid a locked or crossed market by executing transactions with all market makers whose quotations would be locked or crossed, it entered bid or ask quotations in The NASDAQ Stock Market, which caused a locked or crossed market condition to occur in each instance. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #

Did USB Securities LLC 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