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Westminster Securities Corporation

Westminster Securities Corporation (CRD #6105, New York, New York) received a censure and fine of $75,000. According to the findings, the firm failed to accurately mark order tickets. The regulators also found that the firm failed to preserve for a period not less than three years order tickets that pertained to executed transactions. Additionally, the findings stated that the firm engaged in a pattern or practice of late reporting without exceptional circumstances and failed to designate through ACT last sale reports of transactions in OTC Equity Securities as late. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #C10050028)

Did Westminster Securities Corporation manage your investments?



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