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 representativesā€™ private securities transactions as well as recommendations of variable annuity share classes. Letter of Acceptance, Waiver and Consent, […]

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