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Ramius Securities, LLC

Ramius Securities, LLC (CRD #41076, New York, New York) received a censure and fine of $10,000. The firm was also required to revise its written supervisory procedures with respect to the entry of quotations into a quotations medium. According to the findings, the firm published quotations for an OTC equity security or, directly or indirectly, submitted such quotations for publication in a quotation medium and did not have in its records the documentation required by SEC Rule 15c2-11(a) ("Paragraph (a) information"). Apparently, the firm failed to file a Form 211 with NASD 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 #CMS030208)

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