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Carlin Equities Corporation

Carlin Equities Corporation (CRD #31295, New York, New York) received a censure and fine of $10,000. Accordign to the findings, the firm failed, within 90 seconds after execution, to transmit through the Automated Confirmation Transaction Service (ACT) last sale reports of transactions in Over-the Counter (OTC) Equity securities and failed to designate through ACT last sale reports as late. The regulators also found that the firm failed to accept or decline in ACT transactions in eligible securities within 20 minutes after execution. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #CMS040056)

Did Carlin Equities Corporation manage your investments?



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