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Recent Posts in Equity Indexed Annuities Category

Charles Cumber Sanctioned for Undisclosed Outside Business Activity and False Attestation

FINRA fined Brokers International Financial Services, LLC representative Charles Anderson Cumber, Jr. of the firm's Albuquerque, New Mexico branch, for undisclosed selling away from his ...
Continue reading "Charles Cumber Sanctioned for Undisclosed Outside Business Activity and False Attestation" »

Ex-LPL Financial Broker Stanley Scott Garrison Cited for Undisclosed Business, False Compliance Questionnaires

FINRA fined and suspended former LPL Financial, LLC broker Stanley Scott Garrison of Bakersfield, California for failing to disclose an outside business activity and for providing false answers on ...
Continue reading "Ex-LPL Financial Broker Stanley Scott Garrison Cited for Undisclosed Business, False Compliance Questionnaires" »

FINRA Sanctions James Cox for Unsuitable VA Recommendations, Outside Business Activity, Misrepresentation, Mutual Funds

Former Sterne, Agee & Leach, Inc. and Stifel Nicolaus & Co. broker James Keith Cox consented to FINRA's findings that he made unsuitable recommendations regarding variable annuity (VA) ...
Continue reading "FINRA Sanctions James Cox for Unsuitable VA Recommendations, Outside Business Activity, Misrepresentation, Mutual Funds" »

Iain Reilly Fined & Suspended for Impersonating Customers in Phone Calls to Insurance Company

FINRA fined and suspended Cetera Advisors LLC (San Diego, CA branch) representative Iain Patrick Reilly for impersonating clients during phone calls he made from 2013 to 2016 to an insurance ...
Continue reading "Iain Reilly Fined & Suspended for Impersonating Customers in Phone Calls to Insurance Company" »

Alfred Chan Fined & Suspended for Unauthorized Indexed Annuities Sales, REIT Risk Disclosure Failures

FINRA suspended northern California broker Alfred Kai Kwong Chan and fined him $10,000 for improperly selling over 100 indexed annuities valued at $2.5 million without properly disclosing the sales to ...
Continue reading "Alfred Chan Fined & Suspended for Unauthorized Indexed Annuities Sales, REIT Risk Disclosure Failures" »

Concentration Risk: The Implications of Putting All Your Eggs in One Basket

Concentration risk occurs when a large portion of a portfolio's holdings is in a particular investment relative to the overall portfolio. This can be caused or perpetuated through: >> ...
Continue reading "Concentration Risk: The Implications of Putting All Your Eggs in One Basket" »

FINRA Targeting Fixed Annuity Sales' Risks, Firm Policies and Procedures

The Financial Industry Regulatory Authority is stepping up scrutiny concerning fixed annuity sales in response to finding that brokerages are growing into the indexed annuities market, representing a ...
Continue reading "FINRA Targeting Fixed Annuity Sales' Risks, Firm Policies and Procedures" »

SEC: Small Violations Can Lead to Strong Enforcement, Sanctions, and Fines

The Securities and Exchange Commission is turning to a new Enforcement strategy: zero in on minor infractions in order to stop large violations from occurring later on. SEC Chairman Mary Jo ...
Continue reading "SEC: Small Violations Can Lead to Strong Enforcement, Sanctions, and Fines" »

James Martin Higgs Fined & Suspended for Selling EIAs Outside Firm

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" »

Jeffrey Alan Hutman Fined & Suspended in Relation to Variable Annuity Transactions Outside of Firm

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" »

After Appeal, Nolan Wayne Moore Barred and Fined for Failure to Cooperate, Allegedly Engaging in Undisclosed Outside Business Activities

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" »

Catheryne June Downs Fined and Suspended for Failure to Provide Timely Notice of Outside EIA Sales

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" »
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