The Advisors Group, Inc. (CRD #14035, Bethesda, Maryland) received a censure and fine of $11,000. According to the complaint, the firm allowed an individual to perform duties of a registered person while their registration status was inactive with the NASD. The individual had failed to complete the Regulatory Element of the NASD's Continuing Education Program within the time allowed.
The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #C9A000016)
Did The Advisors Group, Inc. manage your investments?
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