Search for: "Annuity Fund"
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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]
13 Jan 2020, 11:05 am
The suit alleges that Glaser further began a pattern of switching in and out of annuities to generate money for himself. [read post]
9 Jan 2020, 3:28 am
If the trust is not updated to match the current SECURE Act language, there could be restrictions in accessing funds to the heirs, which may cause massive tax liabilities down the line. [read post]
8 Jan 2020, 7:30 am
According to the court’s opinion, the husband’s retirement annuity was worth $234,000 when he retired from his job. [read post]
7 Jan 2020, 9:33 am
Booth convinced another elderly investor to withdraw money from an annuity established for the care of his disabled sibling and invest the money with Booth. [read post]
7 Jan 2020, 9:19 am
Booth convinced another elderly investor to withdraw money from an annuity established for the care of his disabled sibling and invest the money with Booth. [read post]
7 Jan 2020, 9:09 am
In 2018, he settled a customer complaint for $45,000 arising out of the sale of Woodbridge Mortgage Investment Funds. [read post]
3 Jan 2020, 1:54 pm
The money the investor pays can be invested in products such as mutual funds. [read post]
3 Jan 2020, 8:08 am
The investors experienced difficulty when they attempted to liquidate their investments and use the funds to pay for medical care. [read post]
30 Dec 2019, 5:47 am
GPB Capital Holding’s funds include: GPB Cold Storage GPB Automotive Fund GPB Automotive Income GPB Holdings II and III GPB Waste Management GPB NY Development DDPs include products such as non-traded REITs, oil and gas offerings, equipment leasing products, and other alternative investments. [read post]
26 Dec 2019, 9:15 am
This statement must include an illustration of the amount of money that a participant could receive each month if the 401(k) account balance were used to purchase an annuity. [read post]
26 Dec 2019, 9:02 am
GPB Capital Holding’s funds include: GPB Cold Storage GPB Automotive Fund GPB Automotive Income GPB Holdings II and III GPB Waste Management GPB NY Development DDPs include products such as non-traded REITs, oil and gas offerings, equipment leasing products, and other alternative investments. [read post]
18 Dec 2019, 4:00 pm
This Client Advisory, originally distributed in December 2019, highlights important developments in the law governing employee benefit plans and executive compensation over the past year. [read post]
18 Dec 2019, 1:45 pm
INADEQUATE SUPERVISION OF PRODUCT EXCHANGES The report also noted that some firms did not maintain a supervisory system to monitor the suitability of recommendations that customers exchange certain products, such as Mutual funds, Variable annuities or Unit Investment Trusts (UITs). [read post]
18 Dec 2019, 5:57 am
In October 2019 a customer complained that Westenbarger violated the securities laws by alleging that Westenbarger convinced them to purchase a corporate note and instead used the funds for his own purposes, that in June 2018, Westenbarger convinced them to replace a variable annuity for no apparent reason, and that in July 2019 Westenbarger made an unauthorized purchase of a UIT, which was unsuitable. [read post]
15 Dec 2019, 12:36 pm
The decedent’s ex-wife contends that the proceeds of the annuities should have been distributed in such a way that the proceeds could fund continuing payments to her. [read post]
11 Dec 2019, 12:40 pm
Coyne has reportedly been barred from the securities industry after he allegedly failed to provide testimony in its investigation into “whether Coyne made misrepresentations, omissions, and unsuitable recommendations of variable annuities to customers using their rollover funds from their state retirement accounts. [read post]
27 Nov 2019, 11:20 pm
The lower court denied Langkamp’s claim for damages saying that the disbursement of funds and the purchase of the annuities was the only obligation of the U.S. [read post]
26 Nov 2019, 6:19 am
The variable annuity is then invested in a variety of areas, often mutual funds. [read post]
25 Nov 2019, 11:51 am
” Variable annuities have higher costs to investors than lower-cost investments, such as mutual funds, but some brokers push variable annuities on their clients because they are paid a higher commission for selling them. [read post]
