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Centex Securities, Incorporated

Centex Securities, Incorporated (CRD #18493, La Jolla, California) received a censure and fine of $10,000. According to the findings, the firm failed to execute orders and thereby failed to honor its published quotation when presented to the firm at its published bid or published offer in an amount up to its published quotation size. The findings also stated that the firm's supervisory system did not provide for supervision reasonably designed to achieve compliance with applicable securities laws and regulations. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #CMS000171)

Did Centex Securities, Incorporated manage your investments?



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