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Kirlin Securities, Inc.

Kirlin Securities, Inc. (CRD #21210, Syosset, New York) received a censure and fine of $12,000. According to the regulators, the firm failed to transmit through the Automated Confirmation Transaction ServiceSM (ACTSM), within 90 seconds after execution, last sale reports of transactions in Nasdaq National Market(r) securities. Additionally, the firm failed to designate last sale reports as late. The NASD also found that the firm failed to indicate on customer order tickets for non-Nasdaq securities transactions the name of each dealer contacted and the quotations received to determine the best inter-dealer market. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #C10010101)

Did Kirlin Securities, Inc. manage your investments?

 

 

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