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UBS Securities, LLC

UBS Securities, LLC (CRD #7654, Stamford, Connecticut) received a censure and fine of $25,000. According to the findings, the firm incorrectly designed as “.PRP” through ACT last sale reports of transactions in NNM securities; transmitted to the Order Audit Trail SystemSM (OATSSM) reports that contained inaccurate, incomplete, or improperly formatted data; and failed to provide written notification disclosing to its customers that transactions were executed at an average price. The regulators also found that the firm made available a report on covered orders in national market securities that it received for execution from any person that included incorrectly classified orders and incorrectly calculated order execution data. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #CMS040147)

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