Redsky Securities, LLC (CRD #38455, Chicago, Illinois) received a censure and fine of $12,500. According to the findings, the firm failed to submit required information to OATS. The regulators also found that the firm failed to enforce its written supervisory procedures with respect to 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 #CMS030265)
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