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Hill, Thompson Magid & Co., Inc.

Hill, Thompson Magid & Co., Inc. (CRD #2202, Jersey City, New Jersey) received a censure and fine of $10,000. According to the findings, the firm published, or submitted for publication, quotations in the National Quotation Bureau "Pink Sheets" for securities and failed to have in its records the documentation required by SEC Rule 15c2-11(a). In addition, the firm failed to file a Form 211 for the securities at least three business days before the firm's quotations were published or displayed in a quotation medium. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #CMS010015)

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