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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?



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