Wien Securities Corporation (CRD #10467, Jersey City, New Jersey) received a censure and fine of $12,500. According to the findings, the firm failed, within 90 seconds of execution, to transmit through ACT last sale reports of transactions in NNM, Nasdaq SmallCap, and eligible securities and to designate through ACT such last sale reports as late. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #CMS000235)
Did Wien Securities Corporation manage your investments?
SHEPHERD, SMITH & EDWARDS, LLP
Offices and Associates:
New York, Chicago, San Francisco, Dallas,
Houston, New Orleans, Phoenix,
and Mexico City.
Main Office: 1010 Lamar, Suite 900, Houston,
Tel. (713) 227-2400 - Fax. (713) 227-7215