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Fixed Annuities

December 30, 2021 Fraudulent Offerings, Unsuitable Recommendations Linked to Northstar Financial Service (Bermuda)
March 29, 2019 JWE Investigating Brokers Who Sold Future Income Payments (FIP) in $300 Million Ponzi Scheme
January 30, 2023 SoCal Broker Jay Eng Cited for Impersonating Customer in Call with Annuity Company
June 09, 2017 FINRA Sanctions James Cox for Unsuitable VA Recommendations, Outside Business Activity, Misrepresentation, Mutual Funds
November 16, 2016 John Hudnall Barred for Selling Away a REIT Investment to Elderly BancWest Customer
July 27, 2016 FINRA Bars Retirement Income Planner Nathan Silva for Failing to Cooperate with Misconduct Investigation
May 05, 2016 FINRA Opens Investigation into John Hudnall for Alleged Improper REIT Sale to Senior, Annuity Violations & Selling Away
June 06, 2014 Concentration Risk: The Implications of Putting All Your Eggs in One Basket
May 06, 2014 FINRA Targeting Fixed Annuity Sales' Risks, Firm Policies and Procedures