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Hold Brothers On-Line Investment Services, LLC

Hold Brothers On-Line Investment Services, LLC (CRD #36816, Jersey City, New Jersey) received a censure and fine of $16,500. According to the findings, the firm failed to report to OATS Reportable Order Events (ROEs) in a timely manner. The regulators also found that the firm failed to enforce its written supervisory procedures, which specified that it would evidence OATS reviews in a supervisory log. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #CLG050078)

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