Carlin Equities Corporation (CRD #31295, New York, New York) received a censure and fine of $10,000. According to the findings, the firm submitted to OATS reports with respect to equity securities traded on The Nasdaq Stock Market, Inc., that were not in the electronic form prescribed by NASD. Apparently, the firm's supervisory system did not provide for adequate supervision to achieve compliance with applicable securities laws, regulations, and NASD rules concerning OATS. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #CMS030185)
Did Carlin Equities Corporation manage your investments?
SHEPHERD, SMITH & EDWARDS, LLP
Offices and Associates:
New York, Chicago, San Francisco, Dallas,
Houston, New Orleans, Phoenix,
and Mexico City.
Main Office: 1010 Lamar, Suite 900, Houston,
Tel. (713) 227-2400 - Fax. (713) 227-7215