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C.E. Unterberg, Towbin

C.E. Unterberg, Towbin (CRD #24790, New York, New York) received a censure and fine of $10,000. According to the findings, an order was presented to the firm at the firm's published bid or published offer in an amount up to its published quotation size. The regulators also found that the firm failed to execute the orders and thereby failed to honor its published quotation. In addition, the firm's supervisory system failed to provide adequate supervision to achieve compliance with SEC and NASD firm quote rules. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #CMS000215)

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