STRATEGIC PLANNING GROUP, INC. of WELLESLEY, MA is an SEC-registered investment adviser (CRD 124855). Regulatory assets under management: $218.6M.
Compensation: % of AUM, Fixed.
Clients served: Individuals, High net worth.
| Name | Role | Location |
|---|---|---|
| Jarrod Andrew Sherman | CHIEF COMPLIANCE OFFICER | — |
| David Alexander Rourke | PRESIDENT | — |
| SHERMAN MARK ANDREW | CHIEF COMPLIANCE OFFICER; SHAREHOLDER | — |
| ROURKE DAVID ALEXANDER | DIRECTOR; PRESIDENT; SHAREHOLDER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2018-11-09 | regulatory | THE ORDER FOUND THAT THE FIRM, ROURKE, AND SHERMAN INVESTED THE FIRM'S CLIENTS' FUNDS IN THE STOCK OF ECOARK HOLDINGS, INC. BUT HAD FAILED TO DISCLOSE TO SUCH CLIENTS THAT ROURKE AND SHERMAN HAD BOTH PERSONALLY INVESTED IN ECOARK STOCK AND HAD ALSO RECEIVED SHARES OF ECOARK STOCK IN EXCHANGE FOR PRO… | Final | $225K |
| 2018-11-09 | regulatory | THE ORDER FOUND THAT THE FIRM, ROURKE, AND SHERMAN INVESTED THE FIRM'S CLIENTS' FUNDS IN THE STOCK OF ECOARK HOLDINGS, INC. BUT HAD FAILED TO DISCLOSE TO SUCH CLIENTS THAT ROURKE AND SHERMAN HAD BOTH PERSONALLY INVESTED IN ECOARK STOCK AND HAD ALSO RECEIVED SHARES OF ECOARK STOCK IN EXCHANGE FOR PRO… | Final | $350K |