Tag Archives: Summit Equities

Summit Equities Censured For Failure To Supervise

Summit Equities, Inc., a brokerage firm headquartered in Parsippany, New Jersey, has been censured and fined $325,000.00 by Financial Industry Regulatory Authority (FINRA) based upon consenting to findings that the firm did not adequately supervise registered representatives’ private securities transactions as well as recommendations of variable annuity share classes. Letter of Acceptance, Waiver and Consent, […]

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