Wien Securities Corp. (CRD #10467, Jersey City, New Jersey) received a censure and fine of $20,000, of which $7,500 was assessed jointly and severally. According to the findings, the firm failed to disclose information on an individual's Uniform Application for Securities Registration or Transfer (Form U4). NASD also found that the firm permitted an individual who was statutorily disqualified to be associated with, and conduct activities on behalf of, the firm. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #C9B030056)
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