Basic Search  |  Summaries  |  Advanced Search

Violation Tracker Individual Record

Company: WMA Securities, Inc.
Penalty: $125,000
Year: 2000
Date: August 15, 2000
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: NASD Regulation, Inc. fined WMA Securities, Inc., based in Duluth, Georgia, $125,000 for failing to report nearly 900 customer complaints.
Level of Government: federal
Action Type: agency action
Agency: Financial Industry Regulatory Authority
Civil or Criminal Case: civil
Source of Data: (click here)
Notes: FINRA is a securities industry self-regulatory body authorized by the federal government. This case was handled by its predecessor, the National Association of Securities Dealers (NASD).
Source Notes: If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.