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WMA Securities, Inc.

WMA Securities, Inc. (CRD #32625, Duluth, Georgia) received a fine of $125,000. The firm was also required to retain, within 30 days, an outside consultant to perform four periodic reviews of the firmís compliance with NASD Rule 3070(c). The regulators found that the firm failed to report statistical and summary information regarding customer complaints to the NASD. The findings also stated that the firm failed to establish, enforce and maintain procedures adequately designed to achieve compliance with regard to the above matters. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #CAF000024)

Did WMA Securities, Inc. manage your investments?



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