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7 Jan 2021, 11:53 am
February 2019 – FINRA Sanctions Kestra Financial for Mutual Fund Overcharges FINRA censured and fined Kestra Financial $225,000 and the firm had to pay $1.9 million in restitution for allegedly overcharging more than 3,200 mutual fund investors over a nine-year period. [read post]
5 Jan 2021, 12:16 pm
Continue Reading › The post Transamerica To Pay $8.8M Over Unsuitable Mutual Fund, 529 Plans, and Variable Annuity Sales appeared first on Investor Lawyers Blog. [read post]
5 Jan 2021, 6:00 am
Connecticut Connecticut is continuing to phase in an increase in its income tax exemption for pension and annuity income. [read post]
4 Jan 2021, 1:50 am
The customer indicated Sigma Financial Corporation as the employing firm when the alleged misconduct occurred, and listed fixed annuity and real estate security as the product types relevant to this dispute. [read post]
4 Jan 2021, 1:50 am
The customer indicated Sigma Financial Corporation as the employing firm when the alleged misconduct occurred, and listed fixed annuity and real estate security as the product types relevant to this dispute. [read post]
31 Dec 2020, 8:59 am
Some common types of investments include stocks, bonds, certificates of deposit, mutual funds, money market funds, exchange-traded funds, and annuities. [read post]
29 Dec 2020, 7:56 pm
Specifically, that Wells Fargo: Failed to establish and maintain a supervisory system, and failed to enforce written supervisory procedures (“WSPs”), that were reasonably designed to achieve compliance with FINRA’s suitability rule as it pertains to switches from variable annuities to investment company products (i.e. mutual funds, Unit Investment Trusts (UITs), etc.). [read post]
28 Dec 2020, 4:24 pm
Tax-Deferred Annuities If you cash in a tax-deferred annuity, the funds are not considered capital gains. [read post]
23 Dec 2020, 11:21 am
Miller Stern Lawyers – 410-Law-Firm is currently investigating clients of Transamerica and all firms and broker dealers who may be victims of, and suffered damages and losses, due to abuses such as failure to supervise, breach of fiduciary duty, overcharging , and unauthorized trading. [read post]
22 Dec 2020, 9:26 am
According to reports, Transamerica Financial Advisors has agreed to pay $8.8 million in sanctions for unsuitable sales of variable annuities, mutual funds and 529 college savings, Finra announced Monday. [read post]
22 Dec 2020, 9:26 am
According to reports, Transamerica Financial Advisors has agreed to pay $8.8 million in sanctions for unsuitable sales of variable annuities, mutual funds and 529 college savings, Finra announced Monday. [read post]
22 Dec 2020, 8:08 am
Obviously, an early request of settlement funds from a blocked account only applies if the settlement funds are in the blocked account, and not a structured annuity. [read post]
21 Dec 2020, 9:46 am
Sanctioned by FINRA and Ordered to Pay $8.8 Million for Supervisory Violations Related to Variable Annuities, Mutual Funds, and 529 Plans appeared first on Securities Arbitration Lawyer Blog. [read post]
18 Dec 2020, 9:41 am
. $8.8 Million for Supervisory Violations Related to Variable Annuities, Mutual Funds and 529 Plans / Firm Ordered to Pay $4.4 Million in Restitution to Approximately 2,400 Affected Customers (FINRA Release)Federal Court Affirms Merrill Lynch Victory in Nigerian Discrimination Case (BrokeAndBroker.com Blog)SEC Charges Company and CEO for $119 Million Securities Fraud Targeting Members of the South Asian American Community (SEC Release)SEC Charges Texas-Based Investment Adviser and… [read post]
14 Dec 2020, 11:22 am
Northstar Financial Services was created in the 1990s and offered fixed- and variable-rate annuity and investment products. [read post]
11 Dec 2020, 1:13 pm
That investigation led to a March 2020 conviction for conspiracy to commit honest services wire fraud and bribery concerning programs receiving federal funds. [read post]
11 Dec 2020, 12:49 pm
Northstar Financial Services offers investment and annuity products. [read post]
11 Dec 2020, 12:20 pm
On March 5, 2020, a federal jury convicted Lindberg of conspiracy to commit honest services wire fraud and bribery concerning programs receiving federal funds. [read post]
9 Dec 2020, 5:05 pm
IRAs are funded by contributions and rollovers. [read post]
3 Dec 2020, 6:32 am
Reportedly, Securities America Advisors have a policy and procedure that allows properly licensed investment advisors to make discretionary trades on no-load mutual funds, load funds at net asset value, variable annuity sub-accounts, stocks, bonds, and covered equity options. [read post]
