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Hornblower & Weeks, Inc.

Hornblower & Weeks, Inc. (CRD #4683, New York, New York) received a censure and fine of $47,500. According to the findings, the firm failed to report to the NASD customer complaints that it had received. In addition, the NASD found that the firm failed to disclose, and to clearly disclose, the markup or markdown on confirmations of principal transactions. The NASD also found that the firm permitted individuals to act as registered persons when their registration status with the NASD was inactive due to their failure to comply with the Regulatory Element of NASD's Continuing Education Requirement. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #C10010051)

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