Search for: "Variable Annuity Marketing Company"
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31 May 2024, 11:49 am
These regulatory investigations involved the following alternative investment products: options, non- traded real estate investment trusts (REITs), limited partnerships and other direct investments, and variable annuities, among others. [read post]
26 Jan 2024, 1:40 pm
Voya and the unregistered entity had a Variable Marketing Agreement for services related to VUL sales. [read post]
5 Jan 2024, 12:16 pm
Deferred variable annuities are financial products offered by insurance companies as a long-term investment vehicle. [read post]
30 Nov 2023, 9:55 am
See also: Variable Annuity Switching How Does Mutual Fund Switching Work? [read post]
18 Oct 2023, 7:43 am
In June 2016, Couture purportedly liquidated one client’s variable annuities to fund withdrawals by another client. [read post]
2 Oct 2023, 6:13 am
As Gensler explained, RILAs are a type of annuity product sold mainly to retail investors.RILA investors’ returns are linked partly to the performance of a market index like the S&P 500. [read post]
1 Sep 2023, 6:44 am
Three prior disclosures by Saw are all customer disputes: Filed on 6/9/2016, this customer alleged that Saw “misrepresented” a variable annuity purchased in November 2013. [read post]
9 Aug 2023, 9:01 pm
Result in an overall increase in the market risk capital requirements and impose stricter requirements for using models in order to calculate market risk. [read post]
7 Jul 2023, 1:24 pm
FINRA said that Wells Fargo failed to obtain sufficient data from variable annuity issuers to review the suitability of variable annuity switches, including surrender fees, despite rules to the contrary. [read post]
25 Apr 2023, 5:00 pm
A DB Plan Sponsor also may seek annuity bids from insurance companies to purchase guaranteed annuity contracts to provide benefits to retired and terminated vested participants. [read post]
17 Apr 2023, 12:40 pm
The firm paid more than $1 million in restitution to customers in connection with its failure to supervise variable annuities sales. [read post]
4 Apr 2023, 1:19 pm
As part of these recommendations, 48 customers who purchased variable annuities and took short-term withdrawals, sometimes less than one year after purchasing the variable annuity, incurred $612,172.66 in surrender charges. [read post]
1 Feb 2023, 2:39 pm
Equitable Financial Life Insurance Company – Rounding out our list, Equitable Financial Life Insurance Company paid $50 million to settle charges that made materially misleading statements and omissions regarding its fees to 1.4 million variable annuity investors, including public school teachers and staff. [read post]
27 Oct 2022, 5:39 am
The amendments will not affect the availability of Rule 30e-3 for closed-end funds and management companies that offer variable annuity contracts.Commissioners Hester Peirce and Jaime Lizárraga also voted to approve the amendments. [read post]
19 Sep 2022, 7:44 am
In February 2021 a customer complained that Atiyeh violated the securities laws by alleging that Atiyeh engaged in a lack of proper due diligence, lack of suitability and over concentration in regards to investments in alternative and variable annuity products. [read post]
18 Aug 2022, 5:21 am
., an insurance company based in Bermuda, reportedly offered insurance products as well as other fixed and variable-rate annuity type investments, such as the following: Global Index Product Global Interest Accumulator Global Advantage Plus Series Global VIP Elite Global Advantage Select These products have reportedly been sold through U.S. registered investment advisors and broker-dealers to overseas investors. [read post]
20 May 2022, 8:18 am
Background On PBIHL PBIHL was originally created with the name Beechwood Bermuda Investment Holdings Ltd (Beechwood) in 2014 to sell variable and fixed rate annuity products. [read post]
21 Apr 2022, 9:01 pm
On March 21, 2022, the Securities and Exchange Commission proposed, in a 510-page release, climate-related disclosure rules for public companies. [read post]
14 Jan 2022, 8:02 am
Private Placements A private placement is an investment in a company that does not offer its shares on a public market such as the NASDAQ or NYSE. [read post]
10 Nov 2021, 8:13 am
-backed certificates of deposit or money market funds. [read post]
