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W.S. Griffith & Co., Inc.

W.S. Griffith & Co., Inc. (CRD #10410, Los Angeles, California) received a censure and fine of $25,000. According to the findings, the firm failed to amend its Form BD, and Forms U-5 and Forms U-4 for individuals, in a timely manner, after becoming aware of lawsuits filed against the firm and individuals alleging securities fraud, other securities law violations, and other misconduct. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #C01000032)

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