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Tag: variable annuity fraud attorney

Blog, Securities Fraud Articles

FINRA Awards suggest that variable annuities remain a problem

Based on recent awards, it appears that variable annuities continue to be a problem in the securities industry.  From January 1, 2013 to...

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Blog, Securities Fraud Articles

Cadaret Grant fined over variable annuity sales.

Cadaret Grant, one of the nation’s largest independent broker-dealers, was recently fined by FINRA and ordered to pay a $200,000 fine, as...

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Blog, Securities Fraud Articles

3 Former Prime Capital Brokers Barred by SEC

The SEC recently announced that it has found that Eric J. Brown, formerly associated with registered broker-dealer Prime Capital Services,...

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Blog, Securities Fraud Articles

FINRA Fines Fifth Third Securities $1.75 Million

The Financial Industry Regulatory Authority (FINRA) announced in April that it has fined Fifth Third Securities, Inc., (FTS) of Cincinnati,...

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