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Coleman & Company Securities, Inc.

Coleman & Company Securities, Inc. (CRD #1486, New York, New York) received a fine of $200,000. In addition, the firm was suspended from participating in any underwritings for three months and thereafter suspended for an additional nine months from acting as a lead managing underwriter. As a condition to resuming any underwriting activity, the firm was also ordered to retain a consultant acceptable to the NASD during its initial three-month suspension. Additionally, the firm was required to revise its compliance manual in accordance with the consultantís recommendations. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #CAF980022)

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