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CJS Securities, Inc.

CJS Securities, Inc. (CRD #44823, White Plains, New York) received a censure andf fine of $40,000. According to the findings, the firm permitted its analysts to sell securities issued by companies for which the analysts were primarily responsible for research coverage at times when the firmís recommendation was to buy or hold the security. The regulators also found that the firmís analysts bought or sold securities issued by companies for which the analysts were primarily responsible for research coverage during a period of time prior to or after the issuance of research reports concerning those companies. Additionally, the report stated that the firm issued research reports covering companies from which the firm had received, or expected to receive, compensation for investment banking services in connection with participation in public offerings of the companiesí securities. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #C3A050031)

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