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8 Jun 2009, 3:07 am
The class action complaint (here), was filed on May 29, 2009 in the Middle District of Florida by a Florida physician who had a Swiss Life variable annuity policy that was invested in the Platinum All Weather Fund (the "Fund"), a mutual fund offered by Nomura. [read post]
29 Oct 2010, 7:05 am
Called a grantor-retained annuity trust, or GRAT, it allows people to give a portion of an asset’s future profits to heirs tax-free. [read post]
23 Feb 2012, 11:37 am
Funding alternatives - Based upon traditional structured settlement business and compensation models, the potential availability and applicability of 468B qualified settlement funds for "appropriate cases" creates inherent conflicts of interest between defendants and their structured settlement brokers. [read post]
1 Apr 2024, 7:16 am
In a claim filed 8/25/2023, the clients alleged that in 2007 and 2008, they gave money to Kersey to invest in a fixed annuity. [read post]
7 Feb 2012, 11:56 am
" The NAIC Suitability Regulation defines "suitability information" to include: age; annual income; financial situation and needs, including financial resources used for the funding of the annuity; financial experience; financial objectives; intended use of the annuity; financial time horizon; existing assets, including investment and life insurance holdings; liquidity needs; liquid net worth; risk tolerance; and tax status; prescribes duties and penalties… [read post]
17 Sep 2015, 1:27 pm
Producer: So the difference between a fixed annuity and a variable annuity is? [read post]
23 Jul 2010, 11:25 am
He also recommended unsuitable transactions on margin and unsuitable variable annuity liquidations. [read post]
15 Dec 2008, 5:30 pm
" It's true that certain kinds of life insurance and annuity contracts (called "variable" in the trade) comprise a "sub account" which mimics a mutual fund, but they are first and foremeost insurance products, and need to be viewed as such.Why is this so important? [read post]
12 Feb 2007, 8:25 am
As many of you know, both Allstate and Prudential have come out with structured sales annuity products that are used to fund and secure installment sales of real property. [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]
29 Jun 2008, 1:58 pm
This is the date that the annuity issuer expects the structured settlement funding. [read post]
14 Apr 2021, 8:00 am
Wall Street Compliance Professionals Need FINRA Like A Heart Attack (BrokeAndBroker.com Blog)Former Chase Bank Teller Charged With Bank Fraud For Targeting Older Adult Victim (DOJ Release)Maple Heights man sentenced to 39 months for elder fraud scheme (DOJ Release)Judgment Entered in SEC Insider Trading Case Involving Clinical Trial (SEC Release)SEC Obtains Final Judgement Against Connecticut Investment Adviser Who Misappropriated Funds from Clients (SEC Release)FINRA Fines and… [read post]
11 May 2014, 4:16 pm
Leadership lacs are a political annuity. [read post]
2 Sep 2019, 9:38 am
PLR 201933007 addressed this issue, and held that a formula is sufficient if, as to a testamentary CLAT, the term of years is determinable at the date of death funding based on the formula provided.PLR 201933007Follow @crubincrubin [read post]
17 Nov 2015, 5:42 am
Mutual Funds And Annuity Disputes Fuel Customers FINRA ArbitrationAs my documented history of commentary discloses, I am no fan of mandatory arbitration -- be that the kind which is foisted upon public customers or upon industry participants. [read post]
5 Oct 2013, 11:17 pm
Retirement Fund of the Firemen's Annuity and Benefit Fund of Chicago seem poised to prevail, unlike the plaintiffs in Kanerva. [read post]
5 Jun 2007, 1:09 pm
"Large pension fund managers working for those with the least to lose tend to be the biggest patsies when it comes to misguided investments. [read post]
27 Dec 2011, 2:42 pm
“The next time one of these banks commits a crime, their directors would not automatically have their defense paid for with shareholder funds,” said John Harrington, President/CEO of Harrington Investments. [read post]
8 Sep 2011, 6:59 am
The Chapter’s sections list Florida’s premier asset protection exemptions including the exemptions afforded wages, retirement funds and annuities. [read post]
19 Nov 2014, 3:52 pm
According to the plea agreement, between July 2010 to September 2012, Wetzel transferred $1,282,224 from an elderly clients annuity account and used the funds for personal use. [read post]
