NJ-based firms impeded clients from voluntarily reporting information to the SEC September 4, 2024/US SEC The Securities and Exchange Commission today announced settled charges against three affiliated registrants, Commission-registered broker-dealer Nationwide Planning Associates, Inc. and investment adviser NPA Asset Management, LLC, and state-registered investment adviser Blue Point Strategic Wealth Management, […]

September 4, 2024/US SEC The Securities and Exchange Commission today announced settled charges against ClearPath Capital Partners LLC for failing to comply with requirements related to the safekeeping of client assets and for its use of impermissible liability disclaimers in its advisory and private fund agreements. According to the SEC’s […]

Firms admit to wrongdoing and agree to pay penalties totaling more than $49 million to settle SEC charges September 4, 2024/US SEC The Securities and Exchange Commission today announced charges against six nationally recognized statistical rating organizations, or NRSROs, for significant failures by the firms and their personnel to maintain […]