Nationwide Planning Associates Inc
The law offices of Gana LLP represents investors that have disputes with their financial advisors or brokerage firms, such as Nationwide Planning Associates Inc (Nationwide Planning). Many investors do not realize when their financial advisor engages in securities misconduct, but there are steps that can be taken to recover losses. There are many different types of securities related misconduct including breach of fiduciary duty, failure to supervise, false representations, and churning. The attorneys at Gana LLP can analyze your investments to determine if there was actionable misconduct by the broker or brokerage firm.
Nationwide Planning Associates Inc is a broker-dealer that offers financial, retirement, estate, and income planning. The firm is affiliated with, or under common control with Bluepoint Strategic Wealth Management, LLC and NPA Asset Management, LLC. The companies are all owned by Michael J. Depol, who hold majority shares of all firms.
Nationwide Planning Associates Inc - By the Numbers:
- CRD #: 31029
- SEC #: 45310
- Regulatory Events: 1
- Customer Complaints: 1
- Employees: 73
Nationwide Planning Associates Inc - In the News:
FINRA v. Nationwide Planning Associates Inc (Case #: 2012030679601) - Nationwide Planning was fined $55,000 by FINRA due to the findings that alleged the firm of issuing misleading statements within their advertising materials. The findings also showed that the firm allegedly failed to do mandatory inspections of non-branch locations for at last three years. Allegedly, the only inspections that were conducted were inadequate. Nationwide Planning also allegedly failed to maintain all business-related emails and properly supervise supervisory within an adequate supervisory system.
National Union Fire Insurance Company of Pittsburgh, PA v. Nationwide Planning Associates Inc (Case #: N/A) - Nationwide Planning was fined $42,500 due to the compromising of the identity of a customer, which was then used to commit ach fraud.