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 Notes: 
If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Parent company note: 
Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.