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

White Pacific Securities, Inc.

White Pacific Securities, Inc. (CRD #42505, San Francisco, California) received a censure and fine of $25,000. Additionally, the firm was required to revise its written supervisory procedures with respect to OATS and SEC Rule 11Ac1-6. According to the regulators, the firm failed to make publicly available a report on its routing of non-directed orders in covered securities. The regulators also found that the firm submitted to OATS reports with respect to equity securities traded on the Nasdaq Stock Market that were not in the electronic form prescribed by NASD, and that the firm failed to report to OATS Reportable Order Events (ROEs) in a timely manner. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #CLG050001)

Did White Pacific Securities, 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