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Dean Witter Reynolds, Inc.

Dean Witter Reynolds, Inc. (CRD #7556, New York, New York) received a censure and fine of $15,000. According to the findings, an order was presented to the firm at the firm's published bid or published offer in an amount up to its published quotation size. The NASD found that the firm failed to execute the orders upon presentment and thereby failed to honor its published quotation. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #CMS010034)

Did Dean Witter Reynolds, Inc. manage your investments?



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