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Zions Investment Securities, Inc.

Zions Investment Securities, Inc. (CRD #17776, Salt Lake City, Utah) received a censure and fine of $35,000. According to the findings, the firm failed to report in a timely manner customer grievances required to be reported with quarterly statistical information or to be reported no more than 10 days following the firmís discovery of the grievances. The regulators also found that the firm failed to amend Forms U4 and U5 as required, and that registered representatives of the firm failed to participate in a required annual compliance interview. Additionally, the findings stated that registered representatives of the firm did not complete one or both of two components of the required firm element continuing education program developed by the firm. Furthermore, the regulators found that the firm settled a customer complaint by means of a settlement agreement that contained language implying that the customer could not voluntarily assist NASD or any self-regulatory organization with respect to the subject matter of the settlement. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #C3A050027)

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