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WMA Securities, Inc.

WMA Securities, Inc. (CRD #32625, Duluth, Georgia) received a censure and fine of $200,000, and required to pre-file with NASD's Advertising Regulation Department all advertisements and sales literature (ASL) 15 days prior to their use for six months from the date of acceptance of this AWC. According to the findings, the firm engaged in widespread breaches of NASD's Advertising Regulations that included failures to evidence supervisory review and approval of ASL; failures to file ASL with the NASD; the use of ASL omitting material facts; and the use of ASL containing exaggerations, unwarranted, and misleading statements. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #CAF020014)

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