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


Trend Trader, LLC

Trend Trader, LLC (CRD #43635, Scottsdale, Arizona) received a censure and fine of $10,000, jointly and severally. According to the findings, the firm conducted a securities business while failing to maintain the required minimum net capital. The regulators also found that the firm, acting through a registered representative, engaged in a municipal securities business without registering with and paying the required fee to the Municipal Securities Rulemaking Board (MSRB), without having qualified the firm and a municipal securities principal as required by the MSRBís rules, and without having a qualified municipal securities principal. Additionally, the NASD determined that the firm, acting through an individual, failed to adopt, maintain, and enforce written supervisory procedures reasonably designed to ensure that the firmís conduct of a municipal securities business was in compliance with applicable provisions of law, regulations, and MSRB rules. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #C3A050001)

Did Trend Trader, LLC 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