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Heartland Securities, Inc.

Heartland Securities, Inc. (CRD #43201, Edison, New Jersey) received a censure and fine of $18,000, which includes $10,000 of the financial benefit the firm obtained by permitting representatives to conduct a securities business while unregistered. According to the findings, the firm failed to ensure that individuals were properly registered as equity traders in accordance with the NASD's Series 55 rule requirements. Additionally, the regulators found that the firm permitted several registered persons to conduct a securities business while they were inactive for failing to satisfy the Regulatory Element of the NASD's Continuing Education Requirements. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #C9B010082)

Did Heartland Securities, Inc. manage your investments?



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