Colliers Securities LLC

06/16/2025: Between September 2020 and December 2023, Colliers violated MSRB Rule G-14 by failing to use the required special condition indicator for transactions in new issue municipal securities that the firm reported to the MSRB's Real-Time Transaction Reporting System (RTRS). Between July 2023 and December 2023, Colliers violated MSRB Rule G-15 and FINRA Rules 2232 and 2010 by failing to disclose, or to accurately disclose, required mark-up and mark-down information on retail customer confirmations. Colliers also violated MSRB Rule G-27, from September 2020 through April 2025, and FINRA Rules 3110 and 2010, from July 2023 through April 2025, by failing to establish and maintain a supervisory system, including written supervisory procedures (WSPs ),reasonably designed to achieve compliance with applicable disclosure and reporting obligations in MSRB Rules G-14 and G-15 and FINRA Rule 2232. For these violations, the firm is censured and fined $55,000.

Reference 2024080105801data-portal.finra.orgfinra.org