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HMS Securities, Inc.

HMS Securities, Inc. (CRD #5940, Montvale, New Jersey) received a censure and fine of $10,000. According to the findings, the firm failed to submit all required Reportable Order Events (ROEs) to OATS on 260 business days. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #CMS040051)

Did HMS Securities, Inc. manage your investments?

 

 

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