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Domestic Securities, Inc. a/k/a Attain-ENC

Domestic Securities, Inc. a/k/a Attain-ENC (CRD #34721, Montvale, New Jersey) received a censure and fine of $10,000. The firm was also required, within 30 business days, to revise its written supervisory procedures with respect to applicable securities laws, regulations, and NASD rules concerning SEC Rule 11Ac1-5. According to the findings, the firm made available a report on the covered orders in national market system securities that it received for execution from any person. This report included incorrect information as to the number of covered orders, the cumulative number of shares of covered orders, and the average realized spread for execution of covered orders. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #CMS040011)

Did Domestic Securities, Inc. a/k/a Attain-ENC manage your investments?



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