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Tradition Asiel Securities, Inc.

Tradition Asiel Securities, Inc. (CRD #28269, New York, New York) received a censure and fine of $22,500. The firm was also required, within 30 business days, to revise the firm's written supervisory procedures regarding trade reporting. According to the findings, the firm failed, within 90 seconds of execution, to transmit through ACT last sale reports of transactions in NNM securities. The firm also failed to designate through ACT such last sale reports as late. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #CMS040088)

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