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World Group Securities, Inc.

World Group Securities, Inc. (CRD #114473, Duluth, Georgia) received a censure and fine of $15,000. According to the findings, the firm permitted representatives to act in registered capacities while their registrations were inactive due to their failure to satisfy the Regulatory Element of NASD’s Continuing Education Requirements. The regulators also found that the firm failed to establish and maintain a supervisory system reasonably designed to assure compliance with the Regulatory Element of the Continuing Education Requirement by its registered representatives. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #C07040082)

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