Nationwide Securities, LLC

Voluntary Resignation

Registered Representative, at the time of resignation, was under internal review for violation of firm policies and procedures related to engaging in a private securities transaction prior to receiving written approval from the firm.

FINRA conducted an examination related to outside business activities while Mr. Dagley was registered with Nationwide Securities, LLC. The conclusion resulted in a "Caution" from FINRA concerning the activity. There was no fine or disciplinary action required. Furthermore, FINRA issued the following statement: "For your information, a Cautionary action is not included in the Central Registration Depository nor must it be reported on Form U-4." Mr. Dagley self-reported once he discovered the omission. The outside business activity was proactively disclosed and accepted by the firm. No client accounts were involved in the inquiry. Mr. Dagley's departure from Nationwide Securities, LLC was immaterial to the matter described.