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SEC charges BD and affiliated IAs with violating Whistleblower Protection Rule

image of a referee with a whistle in his mouth.
Photo: Christian Petersen/Getty Images

Julie DiMauro

3 min read
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Charges revolve around impediments to whistleblowing and reporting functions.


The SEC has announced settled charges against three affiliated registrants: an SEC-registered broker-dealer Nationwide Planning Associates, Inc, an investment adviser called NPA Asset Management, LLC, and state-registered investment adviser Blue Point Strategic Wealth Management, LLC.

The alleged violations revolved around impeding brokerage customers and advisory clients from serving as whistleblowers

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