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11 Mar 2020, 12:50 pm
” In 2014, Butler converted some of his insurance annuities into precious metals, which were shipped to Butler and another individual in the United States. [read post]
4 Mar 2020, 12:48 pm
According to the complaints, Fry’s alleged scheme was to use a Power of Attorney to steal and embezzle funds and fraudulently obtain insurance benefits by purportedly removing monies and funds from investment accounts, annuities and insurance policies he managed for the client and keep the money, in excess of $1.3 million, for his own personal benefit. [read post]
3 Mar 2020, 1:20 pm
Matthes used all of the funds he raised for his own personal use and to operate a Ponzi-like payment scheme, paying $170,000 to certain, select customers. [read post]
1 Mar 2020, 5:22 am
Instead, Minghenelli spent the funds on personal expenses. [read post]
28 Feb 2020, 5:41 am
When the death benefits were received, Simms allegedly convinced the widow to purchase from the proceeds of those insurance policies several investments, annuities and additional insurance. [read post]
28 Feb 2020, 5:41 am
When the death benefits were received, Simms allegedly convinced the widow to purchase from the proceeds of those insurance policies several investments, annuities and additional insurance. [read post]
27 Feb 2020, 4:46 pm
Household’s Assets and Resources In addition, the new form requires applicants to provide information regarding any assets and resources available to the applicant and/or his household members (type of asset and amount) including money in checking and savings accounts, annuities, stocks and bonds, retirement accounts and educational accounts, net cash value of real estate holdings, and other assets. [read post]
25 Feb 2020, 4:17 pm
Stamer advises, represents and defends employers and other management clients and organizations; employer, union, multi-employer, association and other employee benefit plan plans, their sponsors, insurers and fiduciaries, plan administrators, administrative services, technology and other service providers, foreign and domestic governments, and others about employment and other services; health and welfare, pension, profit sharing other… [read post]
25 Feb 2020, 4:02 pm
Stamer advises, represents and defends employers and other management clients and organizations; employer, union, multi-employer, association and other employee benefit plan plans, their sponsors, insurers and fiduciaries, plan administrators, administrative services, technology and other service providers, foreign and domestic governments, and others about employment and other services; health and welfare, pension, profit sharing other… [read post]
20 Feb 2020, 6:00 am
This could create an enormous tax burden.So, if you have clients expecting to inherit qualified funds, then you should consider re-positioning these funds into One America’s Asset Care Annuity Funding Whole Life plan. [read post]
18 Feb 2020, 5:53 am
In addition, FINRA claims that some of these customers have encountered difficulties liquidating the investments to obtain funds that they needed to pay for medical care. [read post]
14 Feb 2020, 4:00 am
This means that people have an additional year and a half to keep all of the funds in their retirement accounts until they need to start taking distributions. [read post]
13 Feb 2020, 3:19 am
The deregulation and rules of financial vehicles that offer low to no tax rates like IRAs, Roth IRAs, annuities, life insurance policies, and more are continuously amended, mostly in the economic favor of the government or corporations offering the financial options. [read post]
30 Jan 2020, 6:16 am
In 2019, it was alleged that the representative misappropriated funds by diverting the client’s assets into his own personal account. [read post]
30 Jan 2020, 6:16 am
In 2019, it was alleged that the representative misappropriated funds by diverting the client’s assets into his own personal account. [read post]
29 Jan 2020, 11:03 am
Mutual of Omaha also reportedly dismissed Matthes after allegations in March for “creating fictitious account statements and diverting customer funds for his own personal use. [read post]
27 Jan 2020, 3:45 pm
Areas of continued focus include complex products, variable annuities, private placements, fixed income mark-up/mark-down disclosure, representatives acting in a position of trust or authority and senior investors. [read post]
27 Jan 2020, 1:50 am
Asset owners with 6 or 8 percent return on higher-risk investments, such as private equity funds or corporate stocks, may still be able to accumulate wealth. [read post]
16 Jan 2020, 5:45 am
He misappropriated stole investor funds. [read post]
14 Jan 2020, 11:47 am
Cash Management and Bank Sweep Programs FINRA recognizes that as commission practices change, cash management services that sweep investor cash into firms’ affiliated or partner banks or money market funds have taken on a greater significance. [read post]
