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The J.B. Sutton Group, LLC, n/k/a Global Capital Markets, LLC

The J.B. Sutton Group, LLC, n/k/a Global Capital Markets, LLC (CRD #16191, Syosset, New York) received a censure and fine of $25,000. According to the regulators, the firm failed to indicate whether payment for order flow was received on customer confirmation statements. Additionally, the regulators found that the firm traded ahead of customer limit orders for securities in which the firm made a market and failed to update immediately its quotation with respect to customer limit orders or otherwise failed to execute those orders. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #C10000206)

Did The J.B. Sutton Group, LLC, n/k/a Global Capital Markets, LLC manage your investments?

 

 

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