Tag Archives: Nationwide Planning Associates

Nationwide Planning Associates Fined for Failure to Supervise

August 26, 2015  |   Posted by :   |   Failure To Supervise, Investment and Regulatory News   |   0 Comments

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, […]

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Nationwide Planning Associates Fined for Misleading Customers

August 17, 2015  |   Posted by :   |   Failure To Supervise, Investment and Regulatory News   |   0 Comments

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 […]

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