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2 Dec 2016, 7:30 am
The violations included (1) using client funds to purchase annuities from a company where the attorney was an agent and received a commission on the sale, (2) improperly cashing out existing annuities, which resulted in charges to the ward, (3) charging excessive fees to a guardianship estate, and (4) intentionally misusing over $10,000 of estate funds in another guardianship. [read post]
2 Dec 2016, 7:30 am
The violations included (1) using client funds to purchase annuities from a company where the attorney was an agent and received a commission on the sale, (2) improperly cashing out existing annuities, which resulted in charges to the ward, (3) charging excessive fees to a guardianship estate, and (4) intentionally misusing over $10,000 of estate funds in another guardianship. [read post]
29 Nov 2016, 8:41 am
“From October 2011 through October 2014, VFA created a conflict of interest by providing registered representatives a financial incentive to recommend that customers move their funds from Valic variable annuities to the firm’s fee-based platform or into a Valic fixed index annuity,” according to the document. [read post]
28 Nov 2016, 6:00 am
Parker MacIntyre provides legal and compliance services to investment advisers, broker dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
22 Nov 2016, 7:46 am
The managing member is alleged to be “legally responsible for the liabilities of Access Funding. [read post]
14 Nov 2016, 9:43 am
Examples are annuities, life insurance policies, retirement accounts, and many jointly owned assets. [read post]
10 Nov 2016, 7:12 am
New annual reporting form, Form N-CEN, streamlines information reported to the Commission to reflect current needs, including disclosures as to whether underlying funds are offered as options under a variable annuity or variable life insurance contract and whether a unit investment trust is a separate account. [read post]
8 Nov 2016, 3:30 pm
It also means naming the trust as a beneficiary of life insurance policies and annuities. [read post]
8 Nov 2016, 3:30 pm
It also means naming the trust as a beneficiary of life insurance policies and annuities. [read post]
7 Nov 2016, 9:31 am
The sanctions were based on findings that Butler converted an elderly customer’s funds and named himself the beneficiary of her annuity by submitting a falsified beneficiary change request form falsely representing that he was her son. [read post]
3 Nov 2016, 7:19 am
Parker MacIntyre provides legal and compliance services to investment advisers, broker-dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
28 Oct 2016, 12:55 pm
The investment feature generally includes sub-accounts, as with other variable annuities, that invest in stocks and bonds, or mutual funds that have exposure to stocks and bonds. [read post]
18 Oct 2016, 11:00 pm
Volatile Assets To implement this strategy, you fund of the grantor retained annuity trust with assets that you expect to appreciate considerably during the trust’s term. [read post]
17 Oct 2016, 8:54 am
The findings stated that Turner circumvented his member firm’s supervisory review process by misrepresenting the source of funds in variable annuity application materials in connection with exchanges by customers. [read post]
17 Oct 2016, 7:11 am
The sanctions were based on findings that Butler converted an elderly customer’s funds and named himself the beneficiary of her annuity by submitting a falsified beneficiary change request form falsely representing that he was her son. [read post]
11 Oct 2016, 11:00 pm
A simple pet trust with few terms and funded solely with cash could be set up in a single appointment with your estate planning attorney. [read post]
15 Sep 2016, 9:39 am
What if it is an annuity? [read post]
15 Sep 2016, 6:49 am
In addition, more than 250 individuals had their licenses revoked and/or found themselves barred from the industry.In 2015, NASAA stated, most state enforcement actions involved some type of fraud and the most common fraudulent investment products involved real estate or oil and gas ventures State securities regulators also launched numerous investigations and enforcement actions involving variable and indexed annuities, hedge funds, life settlements, and structured products. [read post]
14 Sep 2016, 4:28 am
Five years ago, the trust fund was at $1.3 Billion and likely far more now. [read post]
7 Sep 2016, 9:03 am
The husband initially took those settlement funds and put them in an annuity. [read post]
