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Rice, Voelker, L.L.C.

Rice, Voelker, L.L.C. (CRD #39838, Mandeville, Louisiana) received a censure and fine of $10,000. According to the regulators, the firm failed to report to ACT their transactions in Nasdaq National Market® (NNM) securities in a timely manner. They also failed to include a “.SLD” modifier or to include the time of execution for transactions executed outside normal market hours. Additionally, the firm failed to establish, enforce and maintain written supervisory procedures adequately designed to achieve compliance with trade reporting rules. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #CMS990135)

Did Rice, Voelker, L.L.C. manage your investments?



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