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Electronic Brokerage Systems, LLC

Electronic Brokerage Systems, LLC (CRD #104031, Chicago, Illinois) received a censure and fine of $10,000. According to the findings, the firm failed to include all required information in route reports to SuperMontage. The regulators also found that the firm failed to enforce its written supervisory procedures, which specified that it would monitor to ensure that routed order ID numbers were included when routing orders away from the firm. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #CLG050061)

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