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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 #

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