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Cambridge Capital, L.L.C.

Cambridge Capital, L.L.C. (CRD #41464, Garden City, New York) received a censure and fine of $12,500. According to the complaint, the firm failed to appropriately identify an aggregated transaction report in Nasdaq National Market securities with the “.B” modifier. The regulators also found that the firm failed to establish, maintain and enforce required written supervisory procedures. Additionally, the firm failed to maintain adequate records documenting the content of the training and completion of the program by the firm’s covered registered persons. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #C10990149)

Did Cambridge Capital, L.L.C. manage your investments?

 

 

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