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Ryan Beck & Company, Incorporated

Ryan Beck & Company, Incorporated (CRD #3248, Livingston, New Jersey) received a censure and fine of $12,000. According to the findings, the firm failed to display customer limit orders immediately in NASDAQ securities in its public quotation, when each such order was at a price that would have improved firmís bid or offer in such security. The regulators also found that the firm failed to preserve for a period of not less than three years, the first two in an accessible place, the memorandum of broker orders. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #CLG050040)

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