Jeremy Seth Rosen of Easton Pennsylvania a stockbroker formerly registered with Nationwide Planning Associates Inc. is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer sought $1,535,568.66 in damages founded on allegations that Rosen made misrepresentations to them regarding stock trades during the period that he was associated…
Nationwide Planning Associates is based in Paramus, New Jersey and has approximately twenty-five registered branch offices and about sixty-nine registered representatives. The FINRA Disciplinary Action However, according to a recent disciplinary action, Nationwide settled with the Financial Industry Regulatory Authority, it was found or otherwise agreed that at least between March 2010 and May 2012,…
Nationwide Planning Associates, a FINRA member firm since 1993 headquartered in Paramus, NJ, conducts general securities business via its 25 registered branch offices and employment of 69 registered representatives. The Firm, in proposing settlement of rule violations alleged by FINRA without admitting or denying the findings, consented to a FINRA censure and fine of $55,000…