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Herzog, Heine and Geduld

Herzog, Heine and Geduld (CRD #2186, Jersey City, New Jersey) received a censure and fine of $20,000. According to the findings, the firm incorrectly marked transactions in an NNM security as late to ACT. Additionally, the firm failed to preserve the memorandum of brokerage orders. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #CMS000191)

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