Securites Fraud Attorneys SHEPHERD, SMITH & EDWARDS, LLP
stock fraud online consultations
Skip to main content
about Our Stock Attorneys contact stock lawyers securities arbitration questions Securities fraud news Broker Misconduct Resources and links about investment protection en Espanol
Free Consultation

or call
1-800-259-9010


The Advisors Group, Inc.

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?

 

 

If you would like one of our specialists to provide a free consultation, please let us know how to reach you:

 Your Name

 Your Phone

 Your Question / Situation