Securites Fraud Attorneys SHEPHERD, SMITH & EDWARDS, LLP
stock fraud online consultations
Skip to main content
about Our Stock Attorneys contact stock lawyers securities arbitration questions Securities fraud news Broker Misconduct Resources and links about investment protection en Espanol
Free Consultation

or call

Direct Access Brokerage Services Inc.

Direct Access Brokerage Services Inc. (CRD #30057, Chicago, Illinois) received a censure and fine of $10,000. According to the regulators, the firm failed to transmit through ACT, last sale reports of transactions in eligible securities within 90 seconds after execution. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #CMS000218)

Did Direct Access Brokerage Services Inc. manage your investments?



If you would like one of our specialists to provide a free consultation, please let us know how to reach you:

 Your Name

 Your Phone

 Your Question / Situation