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Waldron & Co., Inc.

Waldron & Co., Inc. (CRD #868, Irvine, California) was expelled from NASD membership. According to the regulators, the sanction was based on the fact that the firm executed buy-ins of stock when the firm controlled the float of a stock. In addition, the regulators found that the buy-ins were executed by having the firm supply the stock for the buy-ins at prices that far exceeded the inside ask price at the time of the trades. This resulted in unfair profits for the firm. (NASD Case #CAF990023)

Did Waldron & Co., Inc. manage your investments?

 

 

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