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Ryan Beck & Co.

Ryan Beck & Co. (CRD #3248, Livingston, New Jersey) received a censure and fine of $25,000. According to the findings, the firm allowed individuals to perform duties as registered persons while their registration status with NASD was inactive due to their failure to timely complete the Regulatory Element of NASD's Continuing Education Rule. The regulators also found that the firm failed to promptly display customer limit orders and failed to disclose the markup/markdown charged to the customer in principal transactions. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #C9B030083)

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