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Violation Tracker Individual Record

Company: Financial Planning Advisors, LLC
Penalty: $500,000
Year: 2018
Date: June 15, 2018
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: Financial Planning Advisors and its owner were subject to a Summary Penalty and Revocation Order with a $500,000 civil penalty for allegedly selling unregistered securities in companies, committing multiple violations including fraud, false and misleading statements, and failing to have registration or required records.
Level of Government: state
Action Type: agency action
Agency: New Jersey Bureau of Securities
Civil or Criminal Case: civil
Facility State: New Jersey
Source of Data: (click here)
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.