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Zions Investment Securities, Inc.

Zions Investment Securities, Inc. (CRD #17776, Salt Lake City, Utah) received a censure and fine of $6,000 jointly and severally with individuals, and ordered to disgorge $18,933 in net commissions accrued to the firm. According to the findings, the firm failed to maintain the required minimum net capital; failed to prepare, maintain, and issue account statements to its customers notifying them of customer free credit/debit balances; and failed to send each customer information regarding its financial condition. Additionally, the firm, acting through an individual, allowed persons to remain associated with the firm, transact a securities business, and collect commissions while their licenses were inactive due to failure to complete the Regulatory Element of Continuing Education. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #C3A990066)

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