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Crowell, Weedon & Co.

Crowell, Weedon & Co. (CRD #193, Los Angeles, California) received a censure and fine of $10,000. In addition, the firm is required to submit revised written supervisory procedures with respect to compliance with the firm quote rule to the NASD. According to the regulators, the firm failed to execute orders presented at the firm's published bid or published offer in an amount up to its published quotation size, failed to execute orders, and thereby, failed to honor its published quotation. Additionally, the findings stated that the firm failed to establish, maintain, and enforce written supervisory procedures. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #CMS010099)

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