Published On: August 14, 2015

Nationwide Planning Associates entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA). The firm is accused of issuing advertising materials that contained unbalanced, exaggerated and misleading statements from March 2010 until May 2012. It is also accused of failing to adequately perform and document internal office inspections, failing to retain all business-related emails and failing to establish, maintain and enforce an adequate supervisory system relating to their review of emails. For these, it was censured and fined $55,000. If you invested money with Nationwide Planning Associates, you may be entitled to recover your investment losses in the FINRA arbitration forum. Please call Stoltmann Law Offices at 312-332-4200 to speak with an attorney to discuss your options about recovering the finances you invested with Nationwide Planning Associates.

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If you have suffered financial losses because of the negligence or fraud of your financial advisor or broker through unsuitable investment recommendations, over-concentration, churning, misrepresenting risks, conversion or selling away, you have legal rights and options to pursue recovery of those losses.

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