James Bernard Plummer of Oakdale, Pennsylvania, an investment advisor representative of ILG Private Wealth Inc., has been fined $22,500.00 by Florida Office of Financial Regulation because Plummer made investment recommendations to investors without being registered in the state. Order No. 114418-SR (May 23, 2023). Plummer also consented to a Cease and Desist order.
Financial Industry Regulatory Authority (FINRA) Public Disclosure shows that Plummer was also referenced in a customer initiated investment related complaint that was settled on March 14, 2011, for $23,387.64 in damages based upon allegations that Plummer recommended investments that poorly performed for the USA Financial Securities Corporation customer.
Plummer has been associated with ILG Private Wealth Inc. as an investment advisor representative from April of 2018 to August of 2022. He was also associated with FSC Securities Corporation as a stockbroker from December 10, 2014, to April 16, 2018.
