Search for: "Annuity Fund"
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28 Apr 2021, 9:20 am
• Banks and annuities do not count retainage as an asset when calculating receivable assets which results in subcontractors being unable to access alternative cash flow to make up for funds held up in retainage. [read post]
14 Apr 2021, 8:00 am
Wall Street Compliance Professionals Need FINRA Like A Heart Attack (BrokeAndBroker.com Blog)Former Chase Bank Teller Charged With Bank Fraud For Targeting Older Adult Victim (DOJ Release)Maple Heights man sentenced to 39 months for elder fraud scheme (DOJ Release)Judgment Entered in SEC Insider Trading Case Involving Clinical Trial (SEC Release)SEC Obtains Final Judgement Against Connecticut Investment Adviser Who Misappropriated Funds from Clients (SEC Release)FINRA Fines and… [read post]
2 Apr 2021, 7:10 am
The complaint alleges that in 2017, Mancuso recommended that the elder sister use funds from her 401(k) account to purchase a variable annuity offered by a purported Swiss asset management firm, which Mr. [read post]
25 Mar 2021, 12:24 pm
Allegations include “unsuitable and concentration of annuities,” and “the purchase of a private placement was made without complainant’s approval,” among others. [read post]
25 Mar 2021, 7:15 am
Private fund advisers will continue to be examined with a focus on liquidity, adequate disclosures of risks, and conflicts of interest. [read post]
23 Mar 2021, 1:49 pm
"The recommendations deals with issues such as the death of a spouse; waiving survivor benefits after pension commencement; commuted value: disability benefits; locked-in retirement accounts and life income funds; private annuities; and administrative fees.More details about the Pension Division Review Project are available on the BCLI website. [read post]
22 Mar 2021, 6:04 pm
Solving the puzzle of how to fund the care clients need, to stay at home for as long as possible, without burning through all of their assets. [read post]
19 Mar 2021, 11:00 am
The company was known for its variable annuities, which combine mutual funds within a “wrapper” of an insurance policy. [read post]
18 Mar 2021, 7:43 am
Additionally, the Division will concentrate on recommendations regarding account type, conversions, and rollovers, as well as the sales practices used by firms for various product types, such as structured products, exchange-traded products, real estate investment trusts, private placements, annuities, digital assets, municipal and other fixed income securities, and microcap securities. [read post]
16 Mar 2021, 8:51 am
” March, 2001: A customer dispute alleged that annuity and mutual fund products she was sold were unsuitable, too risky, and do not meet her liquidity needs. $6,464 in damages were requested and the claim was denied. [read post]
11 Mar 2021, 7:44 am
If your spouse received a lump sum the beneficiaries of the remaining lump fund could be your children or could be a new spouse. [read post]
8 Mar 2021, 7:54 am
Allegations are all related to misrepresentations involving sales of variable annuities. [read post]
8 Mar 2021, 7:54 am
Allegations are all related to misrepresentations involving sales of variable annuities. [read post]
7 Mar 2021, 5:15 pm
These priorities will include a focus on climate-related risks; broker and RIA conflicts of interest; Reg BI; FinTech risks; ESG-related risks; proxy voting policies and practices; BCPs; mutual funds; ETFs; municipal securities and other fixed income securities; variable annuities; private placements; and microcap securities. [read post]
7 Mar 2021, 12:49 pm
At that time, Bankers Life Securities reported that customers complained about Tarjanyi, alleging forgery and falsification of information on an insurance application and annuity withdrawal forms. [read post]
4 Mar 2021, 12:24 pm
Further, FINRA said that Patatian had the customers surrender variable annuities, in order to fund some of the purchases, which reportedly triggered taxes and fees and he also purportedly recommended unsuitable variable annuity exchanges. [read post]
4 Mar 2021, 12:24 pm
Further, FINRA said that Patatian had the customers surrender variable annuities, in order to fund some of the purchases, which reportedly triggered taxes and fees and he also purportedly recommended unsuitable variable annuity exchanges. [read post]
26 Feb 2021, 11:56 am
So it’s not an easy problem to solve because the advertising as a revenue source as a way to fund a company is a pretty tried and true method for that. [read post]
24 Feb 2021, 5:42 am
Variable annuities are investment products that offer restrictive access to mutual funds with an insurance wrapper. [read post]
23 Feb 2021, 10:10 am
If you are a union employee, you probably have a pension plan that has promised to pay a monthly annuity for your life once you reach retirement age. [read post]
