Recent Posts in Equity Indexed Annuities Category
Posted on Mar 28, 2013 By Michael Edmiston
FINRA suspended James Martin Higgs and fined him $10,000 for improper equity-indexed annuities ("EIAs") sales made outside the scope of his employment with and without the knowledge or ...
Continue reading "James Martin Higgs Fined & Suspended for Selling EIAs Outside Firm" »
Posted on Feb 13, 2013 By Michael Edmiston
The Financial Industry Regulatory Authority suspended stockbroker Jeffrey Alan Hutman, formerly of Pruco Securities, LLC, through March 31, 2013 and fined him $10,000 for allegedly recommending ...
Continue reading "Jeffrey Alan Hutman Fined & Suspended in Relation to Variable Annuity Transactions Outside of Firm" »
Posted on Jan 28, 2013 By Michael Edmiston
FINRA'S National Adjudicatory Council (NAC) has upheld a FINRA Office of Hearing Officers' (OHO) decision to bar and fine Nolan Wayne Moore of Beaumont, California for failing to appear for an ...
Continue reading "After Appeal, Nolan Wayne Moore Barred and Fined for Failure to Cooperate, Allegedly Engaging in Undisclosed Outside Business Activities" »
Posted on Jul 6, 2012 By Michael Edmiston
The Financial Industry Regulatory Authority (FINRA) suspended broker Catheryne June Downs for six months and fined her $10,000 for failing to provide her firm with prompt written notice of ...
Continue reading "Catheryne June Downs Fined and Suspended for Failure to Provide Timely Notice of Outside EIA Sales" »