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20 Jul 2018, 6:04 am
Kitts allegedly defrauded several clients during the course of six years, forging client signatures to make withdrawals from clients’ variable annuities and wiring funds from their brokerage accounts, as well as misleading some clients to withdraw funds for bogus tax payments, according to the SEC. [read post]
20 Jul 2018, 4:45 am
As alleged by the SEC, prior to 2014, Temenos’ business was largely focused on the sale of traditional financial products to its clientele, including “[m]utual funds, exchange traded funds, variable annuities, and publicly traded stocks. [read post]
19 Jul 2018, 7:35 am
SEC Charges Cape Cod-Based Investment Adviser with Fraud (SEC Litigation Release No. 24208)https://www.sec.gov/litigation/litreleases/2018/lr24208.htm The SEC filed a Complaint in the United States District Court for the District of Massachusetts charging investment adviser Kimberly Pine Kitts with having engaged in a six-year scheme to steal money from client accounts by forging client signatures on withdrawal requests from variable annuities, forging client signatures to wire… [read post]
18 Jul 2018, 1:00 pm
While waiting to take the Texas Bar Exam in early 1952, Jim found a job with a life insurance company selling retirement annuities to servicemen, which changed his thinking about a career practicing law. [read post]
‘Hibernation’ Approach Recommended by Mercer to Wait Out High Demand for DB Plan Derisking Transfers
17 Jul 2018, 2:00 am
” “[W]e also foresee a parallel growth in those fully funding and winding down their plans on balance sheets over time,” the firm said. [read post]
‘Hibernation’ Approach Recommended by Mercer to Wait Out High Demand for DB Plan Derisking Transfers
17 Jul 2018, 2:00 am
” “[W]e also foresee a parallel growth in those fully funding and winding down their plans on balance sheets over time,” the firm said. [read post]
13 Jul 2018, 6:00 am
The report expects the Commission to examine the impact on investors from proposed changes in the standards of conduct for broker-dealers, updates to its transfer agent and ETF rules, and enhancements to disclosures by mutual funds and variable annuities. [read post]
9 Jul 2018, 7:31 am
OIA also supports the development of a summary prospectus for variable annuities, recommending one based on the mutual fund summary prospectus. [read post]
5 Jul 2018, 7:03 am
He has two customer disputes against him, alleging misrepresentation regarding a variable annuity investment and poor recommendations and advice regarding mutual fund investments. [read post]
3 Jul 2018, 11:46 am
In November 2006, a customer alleged that Barcomb had unsuitably advised her to sell a variable annuity to fund the purchase of another variable annuity. [read post]
1 Jul 2018, 4:44 am
In 2009, Pravlik falsely labeled 30 redemption requests as Required Minimum Distributions (RMDs) when he entered them into the firm’s mutual fund system. [read post]
28 Jun 2018, 6:30 am
Medicare has provided clear guidelines for how the MSA should be set up when annuities are involved, with two years of costs funded upfront and the rest of the cost broken out annually over the injured person’s lifetime. [read post]
27 Jun 2018, 1:37 pm
Kris and Sandy Dielman, the claimants, charged that Woodbury breached its fiduciary duty, was negligent and engaged in fraud and deceit in connection with selling them investments in several companies, variable annuities and A-share mutual funds. [read post]
27 Jun 2018, 9:35 am
The Financial Industry Regulatory Authority (FINRA) ordered Woodbury Financial to pay $1.1 million to a couple whose broker invested their money in an aircraft company, a military building in Indiana, variable annuities, and A-share mutual funds, among other unsuitable investments. [read post]
26 Jun 2018, 7:00 am
When it recoups overpayments, it is “not levying or attaching any funds to satisfy a money judgment. [read post]
22 Jun 2018, 2:31 pm
Merrill Lynch’s business conduct includes mutual fund retail, investment advisory services; retailing corporate equity securities; selling variable life insurance or annuities, along with other securities and non-securities transactions. [read post]
22 Jun 2018, 2:31 pm
Merrill Lynch’s business conduct includes mutual fund retail, investment advisory services; retailing corporate equity securities; selling variable life insurance or annuities, along with other securities and non-securities transactions. [read post]
21 Jun 2018, 6:55 am
Lott repeatedly facilitated the individual’s efforts to continue acting as a securities broker, despite the individual’s unregistered status, by effecting variable annuity exchanges and mutual fund sales that the individual recommended to customers to fund fixed indexed annuity purchases. [read post]
14 Jun 2018, 3:54 pm
Diaz sells fixed annuities and spends 10 percent of his time doing so. [read post]
2 Jun 2018, 1:00 am
When interest rates are high, bonds are great to own because they’ll pay out a healthy amount. [read post]
