Securites Fraud Attorneys SHEPHERD, SMITH & EDWARDS, LLP
stock fraud online consultations
Skip to main content
about Our Stock Attorneys contact stock lawyers securities arbitration questions Securities fraud news Broker Misconduct Resources and links about investment protection en Espanol
Free Consultation

or call
1-800-259-9010


Wien Securities, Corp.

Wien Securities, Corp. (CRD #10467, Jersey City, New Jersey) received a censure and fine of $20,000. According to the findings, the firm, while acting as a registered market maker in securities, failed to execute the orders upon presentment and thereby failed to honor its published quotation. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #CMS030193)

Did Wien Securities, Corp. manage your investments?

 

 

If you would like one of our specialists to provide a free consultation, please let us know how to reach you:

 Your Name

 Your Phone

 Your Question / Situation