SEC Fines NJ Financial Cos. For Whistleblowing Violations <https://www.law360.com/compliance/articles/1876574?nl_pk=ab5ce197-c1fb-4d8e-a411-413bce38e654&utm_source=newsletter&utm_medium=email&utm_campaign=compliance&utm_content=2024-09-05&read_main=1&nlsidx=0&nlaidx=2>
By Jessica Corso New Jersey-based brokerage Nationwide Planning Associates Inc. and two affiliated investment advisers have agreed to collectively pay $240,000 to settle allegations that they prevented their clients from acting as whistleblowers, the U.S. Securities and Exchange Commission announced Wednesday. Order attached | Read full article » <https://www.law360.com/compliance/articles/1876574?nl_pk=ab5ce197-c1fb-4d8e-a411-413bce38e654&utm_source=newsletter&utm_medium=email&utm_campaign=compliance&utm_content=2024-09-05&read_more=1&nlsidx=0&nlaidx=2> | Save to favorites » <https://www.law360.com/compliance/articles/1876574?nl_pk=ab5ce197-c1fb-4d8e-a411-413bce38e654&utm_source=newsletter&utm_medium=email&utm_campaign=compliance&utm_content=2024-09-05&read_later=1&nlsidx=0&nlaidx=2>
