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Wien Securities Corporation

Wien Securities Corporation (CRD #10467, Jersey City, New Jersey) received a censure and fine of $15,000. The firm was also required to revise its written supervisory procedures. According to the complaint, the firm, as a registered market maker in securities, failed to execute orders presented at its published bid or offer in an amount up to its published quotation size and, in doing so, failed to honor its published quotation. In addition, the regulators found that the firm's supervisory system failed provide for supervision reasonably designed to achieve compliance with respect to the applicable securities laws and regulations. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #CMS000228)

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