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Donaldson, Lufkin & Jenrette Securities Corp.

Donaldson, Lufkin & Jenrette Securities Corp. (CRD #7560, Jersey City, New Jersey) received a censure and fine of $10,000. According to the findings, the firm engaged in a pattern or practice of late trade reporting. Apparently, the firm failed to report to the Fixed Income Pricing SystemSM (FIPSŪ) transactions within the required time limit (five minutes after execution). The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #CMS000196)

Did Donaldson, Lufkin & Jenrette Securities Corp. manage your investments?



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