Articles Tagged with Reportable Order Events (ROEs)

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Iorio Altamirano LLP is investigating claims on behalf of J.H. Darbie & Co., Inc. customers after the firm was censured and fined $25,000 by FINRA for best execution rule violations. Specifically, FINRA found that the firm’s publicly available reports on its order routing practices for non-directed orders contained inaccurate and incomplete information. FINRA also found that the firm had submitted inaccurate and incomplete Order Audit Trail System (OATS) data. FINRA’s Order Audit Trail System (OATS) is an integrated audit trail of order, quote, and trade information for all NMS stocks and OTC equity.

If you have lost money with J.H. Darbie & Co., Inc., contact New York securities arbitration lawyers Iorio Altamirano LLP for a free and confidential evaluation of your account.

J.H. Darbie & Co., Inc. is headquartered in New York, New York, and has been a FINRA member since February 1998. The firm provides retail brokerage services and employs 36 registered representatives.

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