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Kirlin Securities, Inc.

Kirlin Securities, Inc. (CRD #21210, Syosset, New York) received a censure and fine of $17,250. According to the findings, the firm reported transactions to Nasdaq late and the firm reported late trades without the ".SLD" modifier. The regulators also found that the firm failed to provide customers with best execution and failed to comply with FIPS rules and trade reporting requirements. In addition, the NASD found that the firm's order tickets failed to contain notations documenting the firm's efforts to obtain quotes from three dealers. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #C10010035)

Did Kirlin Securities, Inc. manage your investments?

 

 

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