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19 Nov 2018, 9:50 am
According to the SEC, the brokers sold approximately 200 variable annuities with a total face value of approximately $40 million to federal employees, who used rollover money from their plans to fund the purchases. [read post]
18 Nov 2018, 6:24 am
FINRA alleged that Parker recommended that the customer invest her funds into illiquid, alternative investments and that the customer suffered significant losses in the alternative investments. [read post]
16 Nov 2018, 12:41 pm
In so doing, the firm did not track variable annuity exchanges where the firm was not the broker of record for the variable annuity that was being exchanged. [read post]
16 Nov 2018, 4:00 am
The SEC contends that Kelly told investors he would put their money in different kinds of investment products, including real estate funds, annuities, private placements, and investment funds. [read post]
15 Nov 2018, 3:01 pm
Parker MacIntyre provides legal and compliance services to investment advisers, broker-dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
13 Nov 2018, 7:54 am
This proposed framework would also permit layered disclosure about the underlying mutual funds in contracts. [read post]
9 Nov 2018, 9:33 am
In January 2018 a customer alleged that the broker placed them in high risk funds which are not suitable causing $79,000 in damages. [read post]
6 Nov 2018, 8:06 am
Zamansky LLC also represents investors in arbitration cases against UBS and other brokerage firms regarding Puerto Rico bonds and UBS closed end bond funds and other investments. https://www.puertoricobondfundsattorney.com/en/ The post With No Fiduciary Rule To Worry About, Wall Street Can Push Annuities With Reckless Abandon appeared first on Zamansky LLC. [read post]
30 Oct 2018, 6:54 am
The term does not mean that a resulting recommendation is: the least expensive annuity, the annuity with the highest stated interest rate or income payout rate, or the single best annuity, which is available in the marketplace at the time of the annuity transaction.That flows through to a proposed new standard of care. [read post]
26 Oct 2018, 12:44 pm
According to the SEC’s Orders, the “quant models” were designed to be used, and were ultimately used, to manage, investments within variable annuities and mutual funds. [read post]
18 Oct 2018, 9:19 am
Without admitting or denying the findings, Preston consented to the sanctions and to the entry of findings that he recommended variable annuity exchanges and a mutual fund investment to a customer without having a reasonable basis to believe that the proposed investments were suitable. [read post]
11 Oct 2018, 5:03 pm
The regulator is accusing him of making unauthorized variable annuities (VA) transactions. [read post]
11 Oct 2018, 9:00 am
The IRS has been working to make all taxpayers, including retirees, know that they should make sure they are withholding sufficient funds from their pensions and annuities or face some pretty tough penalties, according to... [read post]
2 Oct 2018, 6:21 am
Transamerica offered, sold and managed quantitative-model-based mutual funds, variable life insurance investment portfolios, variable annuity investment portfolios and separately managed accounts, which were marketed as “managed using a proprietary quant model” and promised that these quantitative techniques were “emotionless,” “model driven” and “model-supported” and provided descriptions of how the quantitative models were to have… [read post]
27 Sep 2018, 8:16 am
Instead, Caufield allegedly use a substantial portion of the over $6M in investor funds pay back earlier investors and take care of overdue franchise fees. [read post]
25 Sep 2018, 10:59 am
Schmidt purportedly made unauthorized sales and withdrawals from his clients’ variable annuities accounts, secretly transferring funds using fraudulent letters of authorization, and issuing fake account statements. [read post]
19 Sep 2018, 3:49 pm
” In December 2016, a customer alleged that Kittner, while employed at Edward Jones, did not properly advise him with respect to unsuitable investments in mutual funds, stocks, certificates of deposit and variable annuity products. [read post]
19 Sep 2018, 6:00 am
Some of the largest shareholders and beneficiaries of stock buybacks are institutional investors, such as pension funds for public-sector employees, and other types of retirement funds. [read post]
13 Sep 2018, 6:30 am
Congress has established specialized annuity contracts to meet the special needs of injured people, and to address the concern that too many people spend their money quickly. [read post]
11 Sep 2018, 12:12 pm
But by deferring their income for many years and having the fund invest it, workers also get a lot of capital income out of the deal—many multiples of their original contributions. [read post]
