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Comprehensive Capital Corp.,

Comprehensive Capital Corp., (CRD #6215, Boca Raton, Florida) was censured and fined $33,500 and ordered to pay restitution to public customers $1,052.24, plus interest. Additionally, the firm is required to provide revised written supervisory procedures to the NASD. The regulators also found that the reported transactions to the Automated Confirmation Transaction ServiceSM (ACTSM) were in violation of the relevant securities laws and regulations regarding trade reporting and recordkeeping. The complaint also states that the firm failed to use reasonable diligence to ascertain the best inter-dealer market under prevailing market conditions. Reportedly, the firm failed to establish, maintain and enforce the necessary written supervisory procedures regarding ACT compliance, annual review and internal audits, limit order protection, best execution, SEC order execution rules, anti-competitive issues, registration of traders and supervisors, trade reporting, the Small Order Execution SystemSM (SOESSM), books and records and locked and crossed markets. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #CMS990048)

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