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Continental Broker-Dealer Corp.

Continental Broker-Dealer Corp. (CRD #14048, Carle Place, New York) received a censure and fine of $12,500. The firm was also required to revise its written supervisory procedures with respect to the routing of non-directed orders in covered securities and timely reporting of Reportable Order Events (ROEs) to NASD. According to the findings, the firm failed to make publicly available for the first calendar quarter of 2002 a report on its routing of non-directed orders in covered securities during that quarter. The regulators also found that the firm failed to timely report to the Order Audit Trail SystemSM (OATSSM). The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #CMS030273)

Did Continental Broker-Dealer Corp. manage your investments?



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