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

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)

Did Conners & Co. 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