Securites Fraud Attorneys SHEPHERD, SMITH & EDWARDS, LLP
stock fraud online consultations
Skip to main content
about Our Stock Attorneys contact stock lawyers securities arbitration questions Securities fraud news Broker Misconduct Resources and links about investment protection en Espanol
Free Consultation

or call

Robertson Stephens Investment Banking

Robertson Stephens Investment Banking (CRD #41271, San Francisco, California) received a censure and fine of $10,000. According to the regulators, the firm, acting as a market maker in securities, was a party to a locked or crossed market condition prior to the market opening. The NASD determined that the firm received a trade-or-move message in each instance through SelectNet and, within 30 seconds of receiving such messages, failed to fill the incoming trade-or-move message for the full size of the message or move its bid down (offer up) by a quotation increment that would have unlocked/ uncrossed the market. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #CMS010155)

Did Robertson Stephens Investment Banking manage your investments?



If you would like one of our specialists to provide a free consultation, please let us know how to reach you:

 Your Name

 Your Phone

 Your Question / Situation