Dominick & Dominick, LLC (CRD #7344, New York, New York) received a censure and fine of $10,000. According to the findings, the firm failed to honor its published quotation at its published bid or published offer in an amount up to its published quotation size. Additionally, the regulators found that the firm’s supervisory system did not provide for supervision adequately designed to achieve compliance with the above areas. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #CMS000201)
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SHEPHERD, SMITH & EDWARDS, LLP
Offices and Associates:
New York, Chicago, San Francisco, Dallas,
Houston, New Orleans, Phoenix,
and Mexico City.
Main Office: 1010 Lamar, Suite 900, Houston,
Texas 77002
Tel. (713) 227-2400 - Fax. (713) 227-7215
