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William V. Frankel & Co.

William V. Frankel & Co. (CRD #1895, Jersey City, New Jersey) received a censure and fine of $10,000. Additionally, the firm was required, within 60 days of acceptance of this AWC by the NAC, to update its written supervisory procedures relating to firm quote compliance. According to the regulators, the firm did not honor its published quote by failing to execute orders presented at its published bid or offer in an amount up to its published quotation size. Furthermore, the firm failed to establish, enforce and maintain written supervisory procedures adequately designed to achieve compliance with regard to the above matters. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #CMS000018)

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