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Recent Posts in Pensions Category

Kyusun Kim Barred for Unsuitable Recommendations of REITs and Alt Investments in Elderly Investors' Retirement Accounts

FINRA barred former Independent Financial Group and Sandlapper Securities, broker Kyusun Kim for unsuitably recommending that a number of elderly and retiring customers liquidate their 401(k) and ...
Continue reading "Kyusun Kim Barred for Unsuitable Recommendations of REITs and Alt Investments in Elderly Investors' Retirement Accounts" »

SEC National Exam Program Issues Broker-Dealers Priorities List for 2014

The Securities and Exchange Commission's Office of Compliance Inspections and Examinations issued examination priorities for 2014 as part of the office's National Exam Program, whose mission ...
Continue reading "SEC National Exam Program Issues Broker-Dealers Priorities List for 2014" »

Veterans Beware: Rogue Financial Advisor "Pension Poachers" Targeting Military Benefits

New research by the Wall Street Journal has uncovered a disturbing trend of financial planners and advisers known as "pension poachers" targeting military veterans for financial crimes and ...
Continue reading "Veterans Beware: Rogue Financial Advisor "Pension Poachers" Targeting Military Benefits" »

SEC/FINRA: Selling Rights to Pension Income Streams, Investing in Third Party Pension Can Be Risky

The SEC and FINRA issued a joint Investor Alert warning of risks inherent with buying or selling pension or settlement income streams, including those related to a structured settlement. What both ...
Continue reading "SEC/FINRA: Selling Rights to Pension Income Streams, Investing in Third Party Pension Can Be Risky" »
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The Law Offices of Jonathan W. Evans & Associates - California Securities Fraud Attorney
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