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Trade.com Online Securities, Inc. f/k/a Bluestone Capital Partners, L.P. and Bluestone Capital Securities, Inc.

Trade.com Online Securities, Inc. f/k/a Bluestone Capital Partners, L.P. and Bluestone Capital Securities, Inc. (CRD #36189, New York, New York) received a censure and fine of $50,000, which includes disgorgement of $20,000 in commissions obtained by the firm. According to the findings, the firm permitted individuals to act as registered persons with the firm while their registration was inactive due to their failure to complete the Regulatory Element of NASD's Continuing Education Requirement. Additionally, the firm failed to make, keep current, and/or maintain certain required books and records. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #C10010102)

Did Trade.com Online Securities, Inc. f/k/a Bluestone Capital Partners, L.P. and Bluestone Capital Securities, Inc. manage your investments?

 

 

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