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RESPONDENTS RESOURCES PLANNING GROUP, INC., TERRANCE R. HENNESSY AND MICHAEL J. MARIETTI IV VIOLATED SECTION 12.A OF THE ILLINOIS SECURITIES ACT; RESPONDENT RESOURCES PLANNING GROUP, INC VIOLATED SECTION 12.D OF THE ILLINOIS SECURITIES ACT; RESPONDENTS RESOURCES PLANNING GROUP, INC; AND JOSEPH J. HENNESSY, VIOLATED SECTIONS 12.F, 12.G, 12.I AND 12.J OF THE ILLINOIS SECURITIES ACT. HEARING SCHEDULED FOR AUGUST 30, 2016 AT 10:00 A.M.
Resolution
Stipulation and Consent
Sanctions
Civil and Administrative Penalty(ies)/Fine(s)
Sanctions
Respondents were assessed 5,000 for cost of investigation, Joint and severally. It has been paid in full
Broker Comment
The Notice of Hearing was dismissed after agreeing to comply to all applicable provisions of the Illinois Securities Law and paying an investigation fee
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.
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Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.