EWT, LLC f/k/a Pioneer Capital Corp. (CRD #45986, 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 OATS. According to the findings, the firm failed to timely report ROEs to OATS. The regulators also found that the firm's supervisory system did not provide for supervision reasonably designed 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 #CMS030274)
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