{"id":2884,"date":"2015-10-27T00:00:00","date_gmt":"2015-10-27T04:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/nfp-advisor-services-llc-censured-and-fined-500000-by-finra\/"},"modified":"2018-10-08T12:40:33","modified_gmt":"2018-10-08T16:40:33","slug":"nfp-advisor-services-llc-censured-and-fined-500000-by-finra","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/nfp-advisor-services-llc-censured-and-fined-500000-by-finra\/","title":{"rendered":"NFP Advisor Services, LLC Censured and Fined $500,000 by FINRA"},"content":{"rendered":"<\/p>\n

\"NFP<\/p>\n

Allegations include failure to supervise registered representatives, among others<\/h2>\n

Austin, Texas-based NFP Advisor Services, LLC has been censured and fined $500,000 according to their FINRA BrokerCheck report<\/a>. As a FINRA member firm since 1997, the censure and fine follow allegations of failure to abide by several regulatory obligations related to its supervision of registered representatives.<\/p>\n

According to the firm\u2019s FINRA Letter of Acceptance, Waiver and Consent (AWC), the firm allegedly failed to commit the necessary time, attention, and resources to several critical regulatory obligations related to its supervision of registered representatives, including the failure to supervise the private securities transactions of 79 representatives.<\/p>\n

Continue reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

Allegations include failure to supervise registered representatives, among others Austin, Texas-based NFP Advisor Services, LLC has been censured and fined $500,000 according to their FINRA BrokerCheck report. As a FINRA member firm since 1997, the censure and fine follow allegations of failure to abide by several regulatory obligations related to its supervision of registered representatives. […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[578],"tags":[439],"class_list":["post-2884","post","type-post","status-publish","format-standard","hentry","category-all-releases","tag-nfp-advisor-services"],"yoast_head":"\nNFP Advisor Services, LLC Censured and Fined $500,000 by FINRA — Securities Arbitration Lawyers Blog — October 27, 2015<\/title>\n<meta name=\"description\" content=\"NFP Advisor Services, LLC Censured and Fined $500,000 by FINRA on sillverlaw.com\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.silverlaw.com\/blog\/nfp-advisor-services-llc-censured-and-fined-500000-by-finra\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"NFP Advisor 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