Variable Annuities

Posts In Variable Annuities

Megurditch Patatian Barred for $8 Million of Unsuitable REIT & Variable Annuity Recommendations Jun 15
One year after FINRA Enforcement filed a complaint alleging ex-Western International Securities ...
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Royal Alliance Associates, Sagepoint Financial & FSC Securities Sanctioned for Supervisory Failures; SagePoint Cited for Failing to Monitor Known Problem Brokers Jan 14
FINRA fined and censured three Advisor Group, Inc. subsidiaries—Royal Alliance Associates, Sagepoint ...
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Fraudulent Offerings, Unsuitable Recommendations Linked to Northstar Financial Service (Bermuda) Dec 30
As research continues into the extent of Northstar/Global Banker owner Greg Lindberg's wire fraud ...
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UnionBanc Investment Services Fined $100k for Variable Annuity Supervision Woes May 11
FINRA fined UnionBanc Investment Services of Glendale, California $100,000 for failing to adequately ...
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A Truly International Operation: Northstar Financial Services (Bermuda)'s Liquidation Will Result in Significant Losses May 06
On March 26, 2021, the Supreme Court of Bermuda issued an order against Northstar Financial Services ...
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The Logan Group Securities Cited for Multi-Share Class Variable Annuity Violations Mar 25
FINRA fined and censured The Logan Group of Roseville, California for failing to establish, ...
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