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22 Feb 2021, 6:34 pm
In addition, the total amount of any subsidy should not exceed 50% of the official fees paid (excluding annuities) for obtaining the patent, and should only be reimbursed after the patent is granted. [read post]
22 Feb 2021, 6:34 pm
In addition, the total amount of any subsidy should not exceed 50% of the official fees paid (excluding annuities) for obtaining the patent, and should only be reimbursed after the patent is granted. [read post]
17 Feb 2021, 9:22 am
In mid-2020, Silver Law Group blogged about VALIC’s payment of a $20 million settlement with the Securities and Exchange Commission (SEC) for breaching its fiduciary duty to clients in connection with mutual fund sales practices. [read post]
16 Feb 2021, 1:04 pm
A financial account (per 31 CFR 1010.350(c)) also includes a commodity futures or options account, an insurance policy with a cash value (such as a whole life insurance policy), an annuity policy with a cash value and shares in a mutual fund or similar pooled fund (i.e., a fund that is available to the general public with a regular net asset value determination and regular redemptions). [read post]
16 Feb 2021, 11:05 am
Settlement in FINRA Case Involves Repaying Nearly $44K to Affected Customers The Financial Industry Regulatory Authority (FINRA) has ordered Triad Advisors to pay a $150K fine for not adequately supervising both short-term trades involving Class A shares of mutual funds and variable annuity exchanges. [read post]
12 Feb 2021, 12:29 pm
With a structured settlement, the settlement funds are used to purchase an annuity that will start paying the child money after the child’s 18th birthday. [read post]
10 Feb 2021, 10:00 am
Continue reading The post Investor Alert: Iorio Altamirano LLP Investigates Triad Advisors LLC Over Supervisory Violations Related to Mutual Funds Trading and Variable Annuity Exchanges appeared first on Securities Arbitration Lawyer Blog. [read post]
2 Feb 2021, 8:41 am
The action alleges that “Kulch over-concentrated customers in illiquid, risky, and high commission products including non-traded real estate investment trusts and variable annuities. [read post]
1 Feb 2021, 1:47 pm
The allegations include: Investing client funds in fraudulent non-UBS investments Forging documents in order to transfer client funds into his own accounts Forging documents to liquidate a client account and purchase shares in HCG Recommending unsuitable investments, including a “private annuity” and stock in a company he controlled Both companies failing to protect the client from Hightower’s “schemes and self-dealings” Permitting Hightower… [read post]
30 Jan 2021, 11:44 am
As a motorcyclist, a simple accident can change your life. [read post]
25 Jan 2021, 7:10 am
Other assets, like annuities and depreciable property, can cause even less-desirable results. [read post]
20 Jan 2021, 4:00 pm
In general, the safe harbor requires distribution to an individual retirement account or annuity (“IRA”) or, in limited circumstances, to a bank account or a state unclaimed property fund.[1] If the safe harbor is satisfied, a fiduciary is deemed to satisfy its fiduciary requirements under Section 404(a) of ERISA[2] with respect to the distribution of accounts, selection of an IRA (or other transferee), and the investment of the accounts. [read post]
20 Jan 2021, 8:30 am
Schmidt was reportedly arrested on December 27, 2018 for an alleged Ponzi scheme that was perpetrated from 2003 to 2017 when he allegedly made 62 unauthorized sales and withdrawals from variable annuities held by customers, totaling over $927,000, purportedly transferring the funds without their knowledge by using fraudulent letters of authorization as well as allegedly issuing false account statements. [read post]
18 Jan 2021, 12:32 pm
Wesselt’s purported strategy was the recommendation that customers first liquidate their retirement savings in order to purchase variable annuities. [read post]
13 Jan 2021, 9:22 am
During this period, VFA also failed to establish a supervisory system and procedures for the review of transactions where a registered representative recommended that a customer invest additional funds into existing variable annuities. [read post]
12 Jan 2021, 7:18 am
The Insurer of the annuity makes their money on annuity fees and management services. [read post]
11 Jan 2021, 11:19 am
Allegations include failure to explain surrender charges or annual fees associated with variable annuities. [read post]
11 Jan 2021, 10:28 am
The customer is seeking $5,000 for the alleged damages involving annuities, REIT and interval fund investment products, and as of the date of this article, the dispute shows as pending. [read post]
11 Jan 2021, 10:28 am
The customer is seeking $5,000 for the alleged damages involving annuities, REIT and interval fund investment products, and as of the date of this article, the dispute shows as pending. [read post]
8 Jan 2021, 4:17 am
Bardeche did not have your best interest in mind when recommending investments, mutual funds, mutual fund switches, annuities, or annuity switches, contact New York securities arbitration law firm Iorio Altamirano LLP for a free and confidential review of your account or annuity contract. [read post]
