DJS Securities Limited

DJS Securities Limited (CRD #13353, New York, New York) received a censure and fine of $15,000, and fined an additional $2,500, jointly and severally, with a registered representative. According to the findings, the firm, acting through individuals, engaged in a municipal securities business without prior notification to the NASD in violation of the firm’s membership agreement and failed to employ the services of a qualified municipal securities principal. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #C10990099)

Did DJS Securities Limited manage your investments?