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William Scott & Co., LLC

William Scott & Co., LLC (CRD #14979, Union, New Jersey) received a censure and fine of $32,500. According to the findings, the firm failed to report customer complaints received by the firm to the NASD and permitted a registered representative to conduct a securities business while his securities industry registrations were inactive as a result of his failing to satisfy the Regulatory Element of the Continuing Education requirement. Additionally, the regulators found that the firm failed to have all of its covered registered representatives participate in the Firm Element of the Continuing Education program and failed to establish, maintain, and enforce written supervisory procedures reasonably designed to achieve compliance with the applicable rules of the NASD concerning the Regulatory and Firm Elements of Continuing Education. (NASD Case #C10000004)

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