Search for: "Annuity Fund"
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16 May 2009, 1:28 pm
Structured settlement funding products NSSTA: 468B QSFs - Henry Strong, William Winslow, James Klapps. [read post]
10 May 2007, 12:08 pm
Bair of Buffalo New York is a John Edwards fund raiser and, according to published sources, has held events at Forge Consulting, LLC corporate headquarters. 5. [read post]
14 Sep 2022, 7:31 am
In June 2016, Couture purportedly liquidated one client’s variable annuities to fund withdrawals by another client. [read post]
23 Aug 2021, 10:48 am
Allegations include losses due to variable annuity switching, among others. [read post]
19 Jul 2019, 11:57 am
Usually folks’ own stocks, bonds, money market accounts, or mutual funds of the above. [read post]
16 Jan 2012, 4:42 pm
., in Irvine, California, was fined $7,500 and suspended from association with any FINRA member in connection with findings that Goel placed a customer's signature on statements he prepared without the customer's knowledge, authorization, or consent as a rationale for recommending the customer sell mutual funds to invest the proceeds in various annuities. [read post]
19 Jul 2019, 11:57 am
Usually folks’ own stocks, bonds, money market accounts, or mutual funds of the above. [read post]
26 Sep 2022, 1:56 pm
In most cases, it comes down to the same thing—mishandling client funds, or some other financial-related wrongdoing. [read post]
9 Dec 2021, 10:53 pm
If you are in the middle of creating and funding your trust, complete your gift (with the caveat that you may want to hold off fully funding an ILIT because such funding would use up the lifetime exemption instead of annual exclusion gifts). [read post]
23 Sep 2019, 6:51 am
Specifically, we’re looking for schemes or abuses that might be more far-reaching than the individual cases brought through the FINRA arbitration process.Brokers & Brokerages Barred, Suspended, and/or Fined by FINRACV Brokerage, Inc (CRD #462, Williamstown, New Jersey) July 2, 2019 Without admitting or denying the findings, the firm consented to the sanctions and to the entry of findings that it failed to establish and maintain a supervisory system and failed to establish, maintain and… [read post]
4 Nov 2011, 8:23 pm
Next Moves & Conclusion Commodity pool operators who advise funds with accounts at MF Global should have already alerted investors in such funds. [read post]
9 Jul 2009, 2:09 am
Similar results occur when an insurer invests in certain insurance contracts that cover the lives of their employees, officers, directors or 20-percent shareholders and fund deductible reserves with tax-exempt or tax-deferred income. [read post]
19 May 2015, 7:29 am
Complex securities include, but are not limited to equity-indexed annuities, leveraged and inverse-leveraged exchange traded funds, reverse convertibles, alternative mutual funds, exchange traded products, and structured notes. [read post]
8 May 2020, 12:02 pm
September, 2019: A customer dispute alleged that Dorraine “engaged in improper mutual fund switches, recommended and sold unsuitable variable annuities, and took advantage of the diminished capacity of one of the claimants. [read post]
2 Oct 2012, 10:41 am
The Board’s analysis would have to be paid for by funds made available through a non-profit or private entity, federal funding, or an annual Budget Act appropriation. [read post]
2 Nov 2015, 12:10 pm
All defined benefit plans offer annuity forms of payment in which periodic payments are paid to the participant. [read post]
18 May 2008, 8:26 am
Buy annuities 8. [read post]
12 Nov 2015, 3:36 pm
The following is a transcription of a recent episode of Wall Street vs. [read post]
14 Aug 2023, 11:36 am
The state of Hawai’i initiated a complaint with allegations that Woodard offered “investment advice and sale of equity indexed annuities through a letter which may mislead clients with regard to nature of investments and investment services. [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]
