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Conners & Co.

Conners & Co. (CRD #1511, Cincinnati, Ohio) received a censure and fine of $10,000. According to the findings, the firm failed to report accurately transactions executed, in that trades were reported late and other trades failed to report the correct time of execution, and that the firm failed to report some transactions. The regulators also found found that the firm failed to establish, enforce and maintain a supervisory system adequately designed to enable it to prevent and detect inaccurate reporting of municipal transactions. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #C8A040099)

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