Switches

• Aug 30, 2022 Kovack Securities Cited for Failing to Supervise Short-Term Mutual Fund Trades, Suitability Issues

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• May 9, 2022 LPL Financial Broker Bruce Amman Cited for Transacting $3.5 Million Private Placement Without LPL Approval

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• Jun 24, 2021 Farmers Financial Solutions Fined for Failing to Supervise Variable Universal Life, Mutual Funds Business

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• May 11, 2021 UnionBanc Investment Services Fined $100k for Variable Annuity Supervision Woes

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• Mar 2, 2021 Megurditch Patatian Accused of Unsuitable REIT Recommendations Funded Through VA Surrenders

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• Feb 24, 2021 VALIC Financial Advisors Fined $350,000 for Variable Annuities Failures After Prior $1.75 Million Fine

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• Feb 11, 2021 FINRA Fines Triad Advisors $150,000 Over Poor Mutual Fund & Variable Annuity Switches That Resulted in Customer Losses

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• Nov 25, 2020 FINRA Finds Variable Annuities, Life Insurance Liquidation Strategy Unsuitable, Cites ON Equity Sales Broker

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• Sep 19, 2020 Voya Broker James Flynn Racks Up Suitability Complaints, Reportedly Flees to Caribbean

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