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


Tradition Asiel Securities, Inc.,

Tradition Asiel Securities, Inc., (CRD #28269, New York, New York) received a censure and fine of $20,000. The firm was also required, within 30 business days, to revise its written supervisory procedures with respect to applicable securities laws and regulations, and NASD rules concerning trade reporting. According to the findings, the firm failed to accept or decline in ACT transactions in eligible securities within 20 minutes after execution. The findings also stated that the firmís supervisory system did not provide for supervision reasonably designed to achieve compliance with respect to applicable securities laws and regulations, and NASD rules concerning trade reporting. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #CLG050068)

Did Tradition Asiel 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