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Recent Posts in Variable Annuities Category

82 results found. Viewing page 1 of 4. Go to page 1 2 3 4   Next

Frederick Holloway Barred for Improper Variable Annuity Exchange Recommendations & Dishonest Conduct

FINRA barred Frederick David Holloway of Holloway & Associates, Inc for improperly recommending unsuitable variable annuities (VA) exchanges to at least 39 clients, earning over $214,000 in ...
Continue reading "Frederick Holloway Barred for Improper Variable Annuity Exchange Recommendations & Dishonest Conduct" »

Ed Matthes Barred After Misappropriation, Forged Account Statement Allegations

FINRA barred former Mutual of Omaha financial adviser Edward Earl "Ed" Matthes after he failed to cooperate with an investigation into allegations he misappropriated funds from clients and ...
Continue reading "Ed Matthes Barred After Misappropriation, Forged Account Statement Allegations" »

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" »

SEC Joins FINRA in Barring Arrested WF Broker John Schmidt over Elder Fraud

Two months after his arrest for fraud and forgery in an alleged Ponzi scheme targeting "particularly vulnerable" clients, including elderly investors and those with diminished mental ...
Continue reading "SEC Joins FINRA in Barring Arrested WF Broker John Schmidt over Elder Fraud" »

FINRA's 2019 Exam Priorities Feature Senior Protections, Suitability, Outside Business Activities

FINRA identified several sales practice risks and investor protection points of emphasis in its 2019 risk monitoring and examination priorities letter, building upon a 2018 decision to concentrate on ...
Continue reading "FINRA's 2019 Exam Priorities Feature Senior Protections, Suitability, Outside Business Activities" »

FINRA Reports Problems with Overconcentration in REITs, Unsuitable Variable Annuity Recommendations

FINRA's 2018 year-end Examination Findings Report identified several problem areas in the securities industry relative to broker and firm interactions with retail investors, including ...
Continue reading "FINRA Reports Problems with Overconcentration in REITs, Unsuitable Variable Annuity Recommendations" »

Charla Kabana Barred During Investigation into Variable Annuity Business at LPL Financial

FINRA barred Charla Cynthia Kabana after she refused to cooperate with an investigation into the circumstances surrounding her termination from LPL Financial of Huntington Beach, CA, in which the firm ...
Continue reading "Charla Kabana Barred During Investigation into Variable Annuity Business at LPL Financial" »

FINRA Sanctions Ryan Logan for Commission Sharing After Unregistered Assistant Sold Variable Annuities Without a License

FINRA fined and suspended Southern California broker Ryan Alexander Logan, formerly of MML Investors Services in Newport Beach, for commission sharing with an unregistered person—his sales ...
Continue reading "FINRA Sanctions Ryan Logan for Commission Sharing After Unregistered Assistant Sold Variable Annuities Without a License" »

National Planning Corp, Investment Centers of America, SII Investments and IFC Holdings Fined $1.7 Million, Ordered to Pay $6 Million in Restitution for Variable Annuity Sales Misconduct

FINRA fined four firms—National Planning Corporation, Investment Centers of America, SII Investments, and IFC Holdings aka INVEST Financial Corporation—a total of $1.7 million and ordered ...
Continue reading "National Planning Corp, Investment Centers of America, SII Investments and IFC Holdings Fined $1.7 Million, Ordered to Pay $6 Million in Restitution for Variable Annuity Sales Misconduct" »

FINRA Fines Royal Alliance, FSC, SagePoint Financial, and Woodbury $1 Million for Variable Annuity Supervision Violations

FINRA fined Royal Alliance Associates, FSC Securities Corporation, SagePoint Financial, and Woodbury Financial a total of $1 million for failing to establish and maintain adequate supervisory systems ...
Continue reading "FINRA Fines Royal Alliance, FSC, SagePoint Financial, and Woodbury $1 Million for Variable Annuity Supervision Violations" »

Fifth Third Securities to Pay $6 Million for Variable Annuity Suitability and Disclosure Failures

FINRA fined Fifth Third Securities $4 million and ordered $2 million in restitution for suitability and related failures pertaining to the firm's variable annuity (VA) business. According to ...
Continue reading "Fifth Third Securities to Pay $6 Million for Variable Annuity Suitability and Disclosure Failures" »

Brent Lott Fined & Suspended for False Documentation Scheme in Connection with Heinz VA Ponzi

FINRA fined and suspended former LPL Financial (Orem, UT) broker Brent Van Lott for purportedly facilitating a non-registered individual, Steven Heinz, in effecting variable annuities (VA) and mutual ...
Continue reading "Brent Lott Fined & Suspended for False Documentation Scheme in Connection with Heinz VA Ponzi" »

Sandeep Varma Cited for Misleading Estate Planning Seminar Communications

FINRA sanctioned former LPL Financial and present FSC Securities Corporation (both of San Diego, CA) broker Sandeep Varma for multiple violations related to seminar slide show presentations he ...
Continue reading "Sandeep Varma Cited for Misleading Estate Planning Seminar Communications" »

NASAA Identifies Notes, Real Estate, Ponzi, Oil and Gas, Affinity Fraud, and Variable Annuities as Biggest Investor Threats

The North American Securities Administrations Association (NASAA) announced the top threats to investors, identifying the most frequent sources of current investor complaints or industry ...
Continue reading "NASAA Identifies Notes, Real Estate, Ponzi, Oil and Gas, Affinity Fraud, and Variable Annuities as Biggest Investor Threats" »

NEXT Financial to Pay $750,000 in Latest Disciplinary Action Concerning Habitual Deficiencies and Systematic VA Failures

FINRA fined NEXT Financial Group, Inc. $750,000 for inadequate oversight and supervisory deficiencies related to excessive trading detection, failure to perform reviews, and additional compliance ...
Continue reading "NEXT Financial to Pay $750,000 in Latest Disciplinary Action Concerning Habitual Deficiencies and Systematic VA Failures" »

Accused of Elder Fraud in Trying to Generate Commissions, FINRA Bars Hank Werner for Churning and Excessive Trading

A FINRA hearing panel barred broker Henry "Hank" Mark Werner for fraudulently churning an account held by a 77-year-old blind widow, resulting in hundreds of thousands of dollars of ...
Continue reading "Accused of Elder Fraud in Trying to Generate Commissions, FINRA Bars Hank Werner for Churning and Excessive Trading" »

SII Investments Charged with REIT Supervisory Failures in Liquid Net Worth Overvaluations

The Commonwealth of Massachusetts' Securities Division charged SII Investments, Inc. with dishonest and unethical conduct, including supervisory failures, in allowing "systematic" ...
Continue reading "SII Investments Charged with REIT Supervisory Failures in Liquid Net Worth Overvaluations" »

With 33rd Disclosure Since 2002, Broker Tiffany Ann De Ruosi (Rigali), Criminal Record in Hand, is Suspended

FINRA fined and suspended former Centaurus Financial, Inc. and Brookstreet Securities Corporation (both Newport Beach, CA) broker Tiffany Ann De Ruosi (aka Tiffany DeRuosi, who has since married and ...
Continue reading "With 33rd Disclosure Since 2002, Broker Tiffany Ann De Ruosi (Rigali), Criminal Record in Hand, is Suspended" »

LPL's Cooke, Hood, Laws & Long Charged in Variable Annuity Fraud Scheme Targeting Federal Employees

The SEC charged former LPL Financial brokers Jonathan Dax Cooke, Danny Scott Hood, Christopher S Laws, and Brandon Preston Long with fraudulently enticing federal employees to roll over holdings from ...
Continue reading "LPL's Cooke, Hood, Laws & Long Charged in Variable Annuity Fraud Scheme Targeting Federal Employees" »

Fictitious Letters to Elderly VA Customer Earns Jason Belajack a Permanent Bar in Latest Discipline of Ex-ACG Broker

FINRA barred former Lincoln Financial Advisors Corporation and Accelerated Capital Group (Irvine, CA) broker Jason Michael Belajack for creating fictitious letters on firm letterhead to cover up the ...
Continue reading "Fictitious Letters to Elderly VA Customer Earns Jason Belajack a Permanent Bar in Latest Discipline of Ex-ACG Broker" »

FINRA Bars Kim Dee Isaacson for Defrauding Elderly Customer

FINRA permanently barred Kim Dee Isaacson (Morgan Stanley of Salt Lake City and Ameriprise Financial of Midvale, Utah) from the securities industry after finding that Isaacson engaged in fraudulent ...
Continue reading "FINRA Bars Kim Dee Isaacson for Defrauding Elderly Customer" »

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" »

Walter Marino Charged with Collecting $60k Commissions as Clients Lost Money Over Unsuitable Variable Annuity Replacements

FINRA charged former Legend Equities broker Walter Joseph Marino with recommending unsuitable variable annuity replacements that benefitted him to the tune of $60,000 in commissions while his ...
Continue reading "Walter Marino Charged with Collecting $60k Commissions as Clients Lost Money Over Unsuitable Variable Annuity Replacements" »

FINRA Fines Summit Equities $325,000 for Variable Annuity-related Supervisory Failures, IME Fund Collapse

FINRA censured and fined Summit Equities, Inc. $325,000 for failing to supervise variable annuity (VA) share class recommendations and for similar supervisory failures related to private securities ...
Continue reading "FINRA Fines Summit Equities $325,000 for Variable Annuity-related Supervisory Failures, IME Fund Collapse" »

John Olinghouse Sanctioned for Falsifying Documents, Settling Elder Diminished Capacity Customer's Complaint Away from Firm

FINRA fined and suspended broker John Edward Olinghouse, formerly of HD Vest and Fortune Financial Services in Sparks, Nevada, for falsifying forms, which he then submitted to HD Vest. FINRA also ...
Continue reading "John Olinghouse Sanctioned for Falsifying Documents, Settling Elder Diminished Capacity Customer's Complaint Away from Firm" »
82 results found. Viewing page 1 of 4. Go to page 1 2 3 4   Next
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