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Tag: variable annuity switching

Blog, Securities Fraud Articles

FINRA Sanctions Fortune Financial for VA Sales

Fortune Financial Allegedly Unsuitably Recommended Variable Annuities   According to a Letter of Acceptance Waiver and Consent on...

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Blog, Securities Fraud Articles

Annuity Sales on the Rise, may Surpass all Time High

Annuity sales on the rise, may surpass all time high set in 2008.  CBS News reported today that annuity sales are on the rise thanks to...

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Blog, FINRA SEC Sanctions

Ameriprise Subsidiary Reportedly Fined for VA Switching   

 SEC fines RiverSource Distributors Inc. $5 Million for Improper Variable Annuity Exchanges   According to The Securities and Exchange...

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Blog, Securities Fraud Articles

Wells Fargo to pay $1.4 M in Restitution

FINRA Sanctions Wells Fargo for Failure to Supervise VA Switches According to the Financial Industry Regulatory Authority (FINRA) on...

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Blog, Current Investigations

Royal Alliance Associates – Failure to Supervise

Mass. Regulators charge Royal Alliance Associates with Failure to Supervise According to an article in Investment News today, the state of...

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