Search for: "Annuity Fund "
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5 Apr 2023, 7:14 pm
Mutual Fund Overcharges The Securities and Exchange Commission settled charges with Berthel Fisher & Company over claims it failed to disclose conflicts concerning recommendations of certain mutual fund share classes that included 12b-1 fees. [read post]
4 Apr 2023, 1:19 pm
Freeze requested and received funds to be invested in Alternative Energy Holdings, possibly a Reg D investment outside the scope of a limited purpose broker dealer. [read post]
30 Mar 2023, 6:52 am
Velten purportedly encouraged them to surrender their annuities and sell mutual fund holdings away from the firm and use the proceeds to purchase bonus an [read post]
29 Mar 2023, 5:49 am
Barry Barnett CFPB survives constitutional assault. https://www.ca2.uscourts.gov/decisions/isysquery/f8a2f690-f348-466c-b577-877fd2ba1772/3/doc/20-3471_opn.pdf Mass-tort law firm broke oral contract to pay farmer to “sign up clients” who grew Syngenta corn. http://media.ca8.uscourts.gov/opndir/23/03/221567P.pdf Views of pain-treatment experts didn’t libel product they opined about. https://www2.ca3.uscourts.gov/opinarch/221411p.pdf ERISA allowed claims that… [read post]
29 Mar 2023, 12:50 am
LPL Financial’s rep allegedly caused five LPL customers to transfer funds from their LPL accounts, or from annuity contracts that the customers held, directly to the Entity or to accounts held at a third-party custodian for which the Entity was the advisor. [read post]
24 Mar 2023, 9:02 am
”Fife argues that both the district and appeals courts relied on a too-narrow reading of Free Enterprise Fund v. [read post]
20 Mar 2023, 11:47 am
Supplementary Benefits (EL) Funded through taxation from the Federal and Cantonal governments, supplementary benefits help fund maternity leave, military pay, and cases where pensions and other income do not cover the minimum cost of living. [read post]
20 Mar 2023, 11:44 am
” It also paid $299,000 to the annuity company to buy a policy that would fund the payments to the plaintiff. [read post]
13 Mar 2023, 2:23 pm
Mutual fund custodians maintain control over the fund’s assets. [read post]
13 Mar 2023, 11:33 am
As is routinely done in Michigan, an “SBO” Trust could be created and funded with the so-called “excess” assets. [read post]
6 Mar 2023, 9:01 pm
& Mrs. 401(k) – are expected to provide for their own retirement by investing in securities, whether through a defined contribution plan, an individual retirement account or annuity, or a separately managed account. [read post]
28 Feb 2023, 2:09 am
Employees can benefit from financial guidance and employer contributions to sources of stress such as student loans or emergency savings funds. [read post]
24 Feb 2023, 5:30 am
Disciplinary Actions On August 21, 2017, the firm was censured and required to remediate eligible customers for mutual fund sales-charge waivers. [read post]
16 Feb 2023, 12:56 pm
Switch you from one variable annuity to another with no legitimate reason. [read post]
16 Feb 2023, 6:02 am
Many of these claims involve the sale of unsuitable investments such as non-traded REITs, private placement investments, annuities, and unit nvestment trusts. [read post]
14 Feb 2023, 9:05 am
Key Findings The federal tax code remains a major source of frustration and controversy for Americans, and a hindrance to economic growth and opportunity. [read post]
8 Feb 2023, 8:03 am
Gift Annuities and Other Donation Options In addition to trusts and bequests, you can also donate through gift annuities, which are a type of contract between the donor (you) and the charity. [read post]
2 Feb 2023, 6:56 pm
Continue Reading › The post Annuity Fraud Lawyers appeared first on Investor Lawyers Blog. [read post]
1 Feb 2023, 2:39 pm
The fund ultimately collapsed, causing investors to lose billions of dollars. [read post]
31 Jan 2023, 2:20 pm
Liddle sent $185 monthly “interest payments” to this client, and also advised her to exit an annuity that he claimed was “high risk,” and reinvest those funds into something similar to L-Bonds. [read post]
