Securites Fraud Attorneys SHEPHERD, SMITH & EDWARDS, LLP
stock fraud online consultations
Skip to main content
about Our Stock Attorneys contact stock lawyers securities arbitration questions Securities fraud news Broker Misconduct Resources and links about investment protection en Espanol
Free Consultation

or call
1-800-259-9010


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 firmís 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?

 

 

If you would like one of our specialists to provide a free consultation, please let us know how to reach you:

 Your Name

 Your Phone

 Your Question / Situation