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Donaldson, Lufkin & Jenrette Securities Corp.

Donaldson, Lufkin & Jenrette Securities Corp. (CRD #7554, New York, New York) received a censure and fine of $11,000. According to the complaint, the firm reported transactions to the Fixed Income Pricing SystemSM (FIPSŪ) in violation of applicable securities regulations and laws regarding trade reporting. Additionally, the firm failed to establish, maintain and enforce written supervisory procedures adequately designed to achieve compliance with applicable securities laws, regulations and NASD rules relating to trade reporting of high yield corporate bonds to the NASD. The firm accepted the fine and censure but did not admit or deny the accusations.(NASD Case #CMS990063)

Did Donaldson, Lufkin & Jenrette Securities Corp. manage your investments?



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