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Equity Trading Online, LLC

Equity Trading Online, LLC (CRD #104038, New York, New York) received a censure and fine of $13,500, $6,000 of which was jointly and severally with an individual. According to the findings, the firm allowed an individual to park his registration with the firm by maintaining his registration as a general securities representative through his purported association with the firm when, in fact, he was not actively involved in the firmís securities or investment banking business or otherwise functioning as a representative of the firm. The regulators also found that the firm, acting through an individual, failed to designate properly a branch office as an Office of Supervisory Jurisdiction (OSJ). The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #C10050057)

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