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Recent Posts in Prospectus Category

FINRA Identifies 5 High-Price Issues in Unsuitable Variable Annuity Recommendations

In December 2018, FINRA's year-end Examination Findings Report FINRA identified five problems with industry-wide variable annuity sales related to how firms recommend these funds to customers. ...
Continue reading "FINRA Identifies 5 High-Price Issues in Unsuitable Variable Annuity Recommendations" »

Troubled LPL Financial to Pay $26 Million for Selling Unregistered, Non-Exempt Securities

LPL Financial reached settlement with the North American State Securities Administrators Association (NASAA) to pay nearly $26 million in fines and penalties for selling unregistered securities not ...
Continue reading "Troubled LPL Financial to Pay $26 Million for Selling Unregistered, Non-Exempt Securities" »

Ameriprise (Irvine)'s Jim Seol Barred for 'Egregious' Selling Away of $100 Million Private Placements for Immigration's EB-5 Program

FINRA barred former Ameriprise Financial (Irvine, CA) broker Jim Jinkook Seol of Lake Forest for participating in $100 million-worth of private securities transactions and outside business activities ...
Continue reading "Ameriprise (Irvine)'s Jim Seol Barred for 'Egregious' Selling Away of $100 Million Private Placements for Immigration's EB-5 Program" »

Curian Clearing Fined for Failing to Deliver Prospectus Materials to Customers

FINRA censured Curian Clearing, LLC of Denver, Colorado, and fined the firm $50,000 for failing to deliver prospectuses related to a money market mutual fund to customers who purchased shares of the ...
Continue reading "Curian Clearing Fined for Failing to Deliver Prospectus Materials to Customers" »
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The Law Offices of Jonathan W. Evans & Associates - California Securities Fraud Attorney
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Phone: (800) 699-1881 | Local Phone: (818) 760-9880.
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