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U.S. Securities & Futures Corp.

U.S. Securities & Futures Corp. (CRD #36045, New York, New York) received a censure and fine of $17,000, of which $8,500 is jointly and severally with individuals. The firm has paid $2,908.65, plus interest, in restitution to public customers. According to the findings, the firm failed to report, or timely report, to the NASD statistical and summary information regarding written customer complaints received by the firm. The NASD also found that the firm, acting through an individual, failed to report to the NASD instances in which the firm was found to have violated state securities laws, and one instance in which the firm entered into a settlement agreement with a customer that exceeded $25,000. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #C10010113)

Did U.S. Securities & Futures Corp. manage your investments?



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