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Tucker Anthony Incorporated

Tucker Anthony Incorporated (CRD #837, New York, New York) was censured and fined $16,000. Additionally, the firm was ordered to pay restitution and interest of $497.09 to public customers. According to the complaint, the NASD determined the firm reported transactions to ACT and SelectNetSM in violation of applicable securities laws and regulations regarding trade reporting, customer orders and limit orders. Additionally, the firm failed to use reasonable diligence to ascertain the best inter-dealer markets for securities so that the resultant prices to the customers were as favorable as possible under prevailing market conditions and failed to display immediately customer limit orders when the orders were at a price that would have improved the firmís bid or offer in each security related to the orders. The firm accepted the fine and censure but did not admit or deny the accusations.(NASD Case #CMS990055)

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