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Written by 5:55 pm Blog, Securities Fraud Articles

Securities Regulatory Information Regarding NFP Securities

The following is a brief breakdown of publicly available information regarding NFP Securities and its securities sales practices and FINRA regulatory history.

NFP Securities is a FINRA registered broker-dealer based in Austin, Texas. Although NFP Securities has a solid reputation in the securities industry, investors should know that the firm does have numerous reportable events on its FINRA Broker Report (or CRD).

According to the firm’s CRD, NFP Securities has been named in at least 6 regulatory events related to possible securities fraud violations. The firm has been the subject of investigations conducted by FINRA, and the State of Florida Division of Securities. These regulatory investigations involved the following investment products (among others): municipal securities, equity index annuities, and variable annuities.

The foregoing is but a brief summary of the firm’s FINRA Broker Report. To access NFP Securities’ full CRD, you can visit http://brokercheck.finra.org.

If you have any questions about investments you made with NFP Securities, or if you believe that you have been the victim of a securities fraud, The White Law Group may be able to help. To contact the firm, please call 312/238-9650 or 561/807-6804.

The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Boca Raton, Florida.

For more information on The White Law Group, please visit https://whitesecuritieslaw.com.

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