Wise Planning Corporation (CRD #899, Hicksville, New York) received a censure and fine of $20,000. According to the NASD, the firm maintained representative registrations for individuals who were no longer active in the firm's securities business. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #C10010079)
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SHEPHERD, SMITH & EDWARDS, LLP
Offices and Associates:
New York, Chicago, San Francisco, Dallas,
Houston, New Orleans, Phoenix,
and Mexico City.
Main Office: 1010 Lamar, Suite 900, Houston,
Tel. (713) 227-2400 - Fax. (713) 227-7215