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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?

 

 

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