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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]
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]
1 Dec 2020, 11:11 am
Kitts allegedly stole $3,000,000 from her clients by purportedly forging their signatures on withdrawal requests from variable annuities, forging signatures to wire funds from client brokerage accounts, and misleading clients into withdrawing funds to make fake tax payments. [read post]
17 Nov 2020, 3:26 am
Tarjanyi received another customer dispute filed in February 2019, alleging unsuitability of annuities, claiming the annuities had a ten-year surrender schedule and maturity dates were inappropriate for their needs and living expenses. [read post]
17 Nov 2020, 3:26 am
Tarjanyi received another customer dispute filed in February 2019, alleging unsuitability of annuities, claiming the annuities had a ten-year surrender schedule and maturity dates were inappropriate for their needs and living expenses. [read post]
11 Nov 2020, 1:28 am
Generally speaking, alternative investments seek to accomplish a fund’s objectives through non-traditional investments and/or trading strategies. [read post]
11 Nov 2020, 1:28 am
Generally speaking, alternative investments seek to accomplish a fund’s objectives through non-traditional investments and/or trading strategies. [read post]
10 Nov 2020, 10:52 am
Further, in connection with his alleged unsuitable recommendations, Wesselt purportedly had customers sign incomplete or blank pages of various documents, including new account documents, variable annuity disclosure forms, and documents authorizing the withdrawal of funds from variable annuities, in violation of FINRA Rules. [read post]
9 Nov 2020, 4:00 pm
Many will recall that in those days, non-ERISA 403(b) plans were not required to be maintained pursuant to a plan document and many 403(b) plans were funded with individual annuity contracts. [read post]
3 Nov 2020, 7:23 am
The first customer sold securities in her firm account in order to fund the loan. [read post]
2 Nov 2020, 4:37 am
Then in August 2017, another customer filed a dispute alleging sale of variable annuity was not suitable, sought $5,736 in damages and received a settlement of $25,674. [read post]
2 Nov 2020, 4:37 am
Then in August 2017, another customer filed a dispute alleging sale of variable annuity was not suitable, sought $5,736 in damages and received a settlement of $25,674. [read post]
30 Oct 2020, 4:00 am
Returns on investment are guaranteed (Not to be confused with an annuity from a reputable company with a guarantee in the contract.) [read post]
25 Oct 2020, 1:14 pm
Retirement assets like annuities and IRAs are important considerations, just like homes and personal belongings. [read post]
25 Oct 2020, 9:30 am
Instead, they pay taxes to a separate fund administered by the Railroad Retirement Board, an independent government agency. [read post]
23 Oct 2020, 2:00 pm
Conversion of customer funds is a violation of FINRA Rules 2150(a) and 2010. [read post]
Want Florida Medicaid Benefits For Nursing Home Costs? First You’ll Need The Right Power of Attorney
21 Oct 2020, 7:26 am
The power to waive the principal’s right to be beneficiary of certain retirement plans and annuities. [read post]
8 Oct 2020, 5:11 am
In the end, the Wakpamni were left with $60 million in debt, and the fund investors lost over $40 million. [read post]
8 Oct 2020, 4:50 am
One strategy that unscrupulous brokers employ is to switch clients out of variable annuities into other insurance products or mutual funds. [read post]
6 Oct 2020, 9:39 am
There has been a shift in the financial services industry leading to claims against registered investment advisors, hedge funds, and others which are governed by different sets of rules. [read post]
