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Equity Indexed Annuities

Most Recent Posts in Equity Indexed Annuities

Aug 7, 2017 Ex-LPL Financial Broker Stanley Scott Garrison Cited for Undisclosed Business, False Compliance Questionnaires
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Jun 9, 2017 FINRA Sanctions James Cox for Unsuitable VA Recommendations, Outside Business Activity, Misrepresentation, Mutual Funds
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Apr 1, 2017 Iain Reilly Fined & Suspended for Impersonating Customers in Phone Calls to Insurance Company
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Mar 31, 2016 Alfred Chan Fined & Suspended for Unauthorized Indexed Annuities Sales, REIT Risk Disclosure Failures
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May 6, 2014 FINRA Targeting Fixed Annuity Sales' Risks, Firm Policies and Procedures
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Oct 15, 2013 SEC: Small Violations Can Lead to Strong Enforcement, Sanctions, and Fines
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Mar 28, 2013 James Martin Higgs Fined & Suspended for Selling EIAs Outside Firm
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Jan 28, 2013 After Appeal, Nolan Wayne Moore Barred and Fined for Failure to Cooperate, Allegedly Engaging in Undisclosed Outside Business Activities
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Jul 6, 2012 Catheryne June Downs Fined and Suspended for Failure to Provide Timely Notice of Outside EIA Sales
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