Search for: "Annuity Fund "
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28 Jul 2017, 10:00 am
You will probably want to consider whether this amount will go to a specific purpose defined by you or whether the charity has authority when applying the funds. [read post]
27 Jul 2017, 1:07 pm
Use a charitable gift annuity. [read post]
26 Jul 2017, 10:31 pm
It just asserted there was a common enterprise and observed in passing that investor funds were pooled to fund projects. [read post]
26 Jul 2017, 10:31 pm
It just asserted there was a common enterprise and observed in passing that investor funds were pooled to fund projects. [read post]
17 Jul 2017, 12:43 pm
The most recent customer complaint against Zito was filed in April 2017 alleging that she misrepresented the client’s account regarding the purchase of a variable annuity back in 2006. [read post]
17 Jul 2017, 12:34 pm
Pension plan sponsors must therefore ensure their plans are sufficiently funded to keep those promises, making any required contributions (based on mortality tables that can change from time to time and may increase required contributions) and assuming the risk of possible investment losses. [read post]
13 Jul 2017, 6:59 am
A Series 6 license is a very limited license that only allows brokers to sell variable annuities and open end mutual funds. [read post]
12 Jul 2017, 12:02 pm
According to FINRA, the customer stressed to Padilla that they did not want any of their funds invested in a variable annuity due to the high fees associated with variable annuities and because of their desire for liquidity. [read post]
10 Jul 2017, 3:00 am
Of course that will defeat the purpose of accessing the funds early as once they’re placed in an IRA you’ll have to wait until you turn 59½ to access the funds. [read post]
6 Jul 2017, 2:24 pm
In February 2017, broker Lee Rosenberg (Rosenberg) was subject to a customer complaint alleging $250,000 in damages concerning mutual funds and variable annuities. [read post]
6 Jul 2017, 5:24 am
For example, one recent innovation is the possible development of mutual fund “clean shares. [read post]
29 Jun 2017, 10:08 am
You may grant power of attorney to your chosen agent to allow that person to act in any of the following ways: Buy, sell, pay taxes on or maintain any property you own Invest your money into stocks, bonds or mutual funds Use your assets to pay your bills and other everyday expenses Purchase or sell insurance policies and annuities Collect Medicare, Social Security or other government benefits File and pay your income taxes Operate certain aspects of your small business Handle… [read post]
14 Jun 2017, 8:12 am
(FINRA Case #2014040873501) Cecil Ernest Nivens (CRD #2110613, Gastonia, North Carolina) was named a respondent
in a FINRA complaint alleging that he circumvented his member firm’s WSPs (Written Supervisory Procedures) by failing to process as replacement trades variable universal life (VUL) purchase transactions, totaling approximately $439,805 in first-year premiums, even though Nivens recommended that each purchase be funded by withdrawals from an existing variable… [read post]
6 Jun 2017, 12:32 pm
In March 2016, a customer complaint was filed alleging Walker made unauthorized sales of different stocks, unauthorized and unsuitable purchases of variable annuities, and unauthorized mutual fund switches during the period of June 2014 to June 2015 while Walker was employed at LPL Financial LLC. [read post]
31 May 2017, 10:28 am
The securities resulted in being falsified by Kolf and the clients’ funds were used to fund his personal business expenses. [read post]
29 May 2017, 3:00 am
For an investor intending to retire before 59½ this could play a big role in accessing retirement funds early. [read post]
29 May 2017, 3:00 am
For an investor intending to retire before 59½ this could play a big role in accessing retirement funds early. [read post]
19 May 2017, 9:08 am
The agency asserted that the broker failed to go through the supervisory review process in his firm by misrepresenting fund sources in application materials for variable annuities. [read post]
19 May 2017, 6:16 am
These should permit financial planners to have greater flexibility with investing their clients’ funds without the risk of loss to creditors or the severe investment limitations that are necessary to offer a reduced level of protection to their clients through annuities and life insurance options. [read post]
14 May 2017, 5:27 am
Our firm is investigating claims made by The Financial Industry Regulatory Authority (FINRA) and the Securities Exchange Commission (SEC) against broker Richard Cody (Cody) that involves potentially millions in either stolen client funds or misrepresentations concerning the state of their accounts. [read post]
