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
1-800-259-9010


Trident Securities, A Division of McDonald Investments, Inc.

Trident Securities, A Division of McDonald Investments, Inc. (CRD #566, Cleveland, Ohio) received a censure and fine of $15,000. According to the findings, the firm failed to make available, or failed to make available in a timely manner, reports on the covered orders in national market system securities that it received for execution from any person. The regulators also found that the firm failed to make publicly available reports on its routing of non-directed orders in covered securities. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #CMS040184)

Did Trident Securities, A Division of McDonald Investments, Inc. 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