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Recent Posts in Fixed Annuities Category

JWE Investigating Brokers Who Sold Future Income Payments (FIP) in $300 Million Ponzi Scheme

In the wake of a federal grand jury's indictment of Future Income Payments and its owner Scott A. Kohn of Newport Coast, California for fraud over an alleged Ponzi scheme targeting pensioners and ...
Continue reading "JWE Investigating Brokers Who Sold Future Income Payments (FIP) in $300 Million Ponzi Scheme" »

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" »

John Hudnall Barred for Selling Away a REIT Investment to Elderly BancWest Customer

FINRA barred John Stuart Hudnall, formerly of U.S. Bancorp Investments and BancWest Investment Services' San Francisco, California branches, for participating in an undisclosed and unapproved ...
Continue reading "John Hudnall Barred for Selling Away a REIT Investment to Elderly BancWest Customer" »

FINRA Bars Retirement Income Planner Nathan Silva for Failing to Cooperate with Misconduct Investigation

FINRA barred former Ameritas Investment Corp. broker Nathan Silva for his failure to cooperate with an investigation into several instances of misconduct, including an Ameritas charge that he ...
Continue reading "FINRA Bars Retirement Income Planner Nathan Silva for Failing to Cooperate with Misconduct Investigation" »

FINRA Opens Investigation into John Hudnall for Alleged Improper REIT Sale to Senior, Annuity Violations & Selling Away

FINRA has opened an investigation into John Stuart Hudnall, formerly of U.S. Bancorp Investments in San Francisco, CA, alleging that he participated in an undisclosed and unapproved private securities ...
Continue reading "FINRA Opens Investigation into John Hudnall for Alleged Improper REIT Sale to Senior, Annuity Violations & Selling Away" »

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" »
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The Law Offices of Jonathan W. Evans & Associates - California Securities Fraud Attorney
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