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Tasin & Company, Inc.

Tasin & Company, Inc. (CRD #30709, Hauppauge, New York) received a censure and fine of $48,450. According to the regulators, the firm failed to accurately report to the NASD statistical summary information regarding customer complaints, customer settlements and disciplinary action by states against the firmís registered representatives. Additionally, the firm failed to update its bid/ask to reflect the limit order price and failed to update the full limit order size in its quote in securities in which the firm made a market. The findings also reported that the firm failed to establish, enforce and maintain compliance and supervisory systems and procedures adequately designed to achieve compliance with applicable securities laws, regulations, and rules regarding trade reporting, continuing education and customer complaints. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #C10990183)

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