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Tucker Anthony, Incorporated

Tucker Anthony, Incorporated (CRD #837, New York, New York) received a censure and fine of $17,500. According to the findings, the firm failed to immediately display customer limit orders in Nasdaq securities in its public quotation when the orders were at prices that would have improved the firmís bid or offer in the securities or when the orders were priced equal to the firmís bid or offer and the national best bid or offer for the securities and the size of the orders represented more than a de minimus change in relation to the size associated with the firmís bid or offer in the securities. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #CMS990147)

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