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
1-800-259-9010


On-Site Trading, Inc.

On-Site Trading, Inc. (CRD #30271, Great Neck, New York) received a censure and fine of $13,500. According to the complaint, the firm executed short-sale transactions in Nasdaq National MarketŪ (NNM) securities at or below the inside bid when the current inside bid was below the proceeding inside bid in each of the securities. Apparently, the firm failed to establish, enforce and maintain written supervisory procedures adequately designed to achieve compliance with applicable NASD short-sale rules. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #CMS000068)

Did On-Site Trading, 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