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14 Mar 2019, 2:17 pm
The complaint details that the investment product was supposed to be comprised of U.S Treasury Securities, publicly-traded stock, fixed-index annuities, life settlements, and mutual-fund shares, but Gallagher only purchased a single $75,000 annuity. [read post]
11 Mar 2019, 2:17 pm
Meantime, Schmidt earned more than $230K in commissions from both the customers who received the misappropriated monies and those whose funds he stole. [read post]
5 Mar 2019, 12:47 pm
According to the SEC, during a 14 year period, from 2003 to 2017, Schmidt allegedly made 62 unauthorized sales and withdrawals from variable annuities held by customers, totaling over $927,000, purportedly transferring the funds without their knowledge by using fraudulent letters of authorization as well as allegedly issuing false account statements. [read post]
27 Feb 2019, 9:00 am
Retirement is a one time experience, likely you will not have the time or resources for a do-over. [read post]
21 Feb 2019, 6:57 am
Further, according to the CCMC, the proposal creates an opportunity to overall improve the language of annuities, and the SEC should take steps to avoid codifying old and confusing annuity language in within the new rule and amendments. [read post]
20 Feb 2019, 9:00 am
Assisted suicide has been a controversial topic for years. [read post]
19 Feb 2019, 2:02 pm
Lamendola also allegedly paid $15,999.55 to the customer to settle his verbal complaint regarding the purportedly mistaken IRA deposits, but Lamendola allegedly did not notify his member firm of the customer’s complaint nor his payment of funds to the customer to resolve the complaint. [read post]
19 Feb 2019, 1:09 pm
This fine by the SRO against Kestra comes three years after the regulator fined the firm for improper training and supervision related to annuity sales. [read post]
19 Feb 2019, 8:23 am
The post Kestra Financial | Mutual Fund Overcharges appeared first on The White Law Group. [read post]
13 Feb 2019, 9:00 am
A friend of mine who wanted to let me know that there was an article about annuities. [read post]
11 Feb 2019, 1:12 pm
Insurance Benefits Up to $100 per month of insurance or annuity payments are exempted. [read post]
5 Feb 2019, 1:33 pm
Varghese was under internal review following allegations that he allegedly submitted several annuity applications that were never funded which allowed him to receive compensation that he was reportedly not entitled to, FINRA notes. [read post]
4 Feb 2019, 2:18 pm
Boggs had worked with the Snows on their early retirement plan, which included investing in the Sun America Life-issued variable annuity the Polaris Advantage II and other investments. [read post]
1 Feb 2019, 6:30 am
Having said this, however, life is very difficult for non-profit research organizations that don’t have the luxury of generous bequests and annuities to pay their bills and cannot provide their funders with tangible output metrics like number of clients seen, number of pamphlets downloaded and number of posters printed. [read post]
30 Jan 2019, 2:48 pm
Kitts allegedly also engaged in misappropriation of client funds by purportedly forging signatures on withdrawal requests from variable annuities and wire authorizations from client brokerage accounts, according to a Report from the State of Massachusetts. [read post]
30 Jan 2019, 12:33 pm
Extensive legal regulations govern how the funeral industry may invest or otherwise handle the funds you set aside for services in the future, but many cases of abuse have been reported, including stolen and mismanaged funds. [read post]
29 Jan 2019, 7:52 am
The new rules and guidance cover: information which is sent to consumers before they decide how to access their pension savings, including ‘wake-up’ packs, ‘wake-up’ pack reminders and additional retirement risk warnings; information provided to consumers about annuities and eligibility for enhanced annuities; and changes to make the cost of drawdown products clearer and more comparable.In CP19/5 the FCA is consulting on: The changes to ‘wake-up’… [read post]
28 Jan 2019, 1:34 pm
Without admitting or denying the allegations, Last consented to the sanction and to the entry of findings that he converted $5,000 from one of his customer’s variable annuity accounts. [read post]
28 Jan 2019, 10:17 am
In particular, federal law provides that the federal agency administering Medicaid can deny some of the federal funding to a state if the state commits eligibility errors that exceed a specified threshold. 42 U.S.C. [read post]
28 Jan 2019, 2:00 am
While mortality tables and interest rates have been updated under federal pension law over the years for various purposes, such as pension minimum funding and minimum lump-sum payment calculations, there have been no required updates in the context of these joint and survivor annuity calculations. [read post]
