variable annuity switching
Tag Archive

Royal Alliance Associates January 22, 2019

Royal Alliance Associates – Failure to Supervise

Mass. Regulators charge Royal Alliance Associates with Failure to Supervise

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1035 exchange January 9, 2019

1035 Exchange Process Simplified

Could an expedited 1035 Exchange process lead to variable annuity switching?

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finra examination findings December 14, 2018

FINRA Examination Findings: Failure of Oversight in Firms

FINRA Examination Findings: firms need to tighten up supervisory systems. Last

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Variable Annuity October 12, 2017

Variable Annuity Switching – Securities Fraud Lawyer

Investment Losses due to Variable Annuity Switching Have you been a victim of

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Update on Former Advisor Walter J. Marino and Variable Annuities Case May 10, 2017

Update on Former Advisor Walter J. Marino and Variable Annuities...

FINRA Charges  Walter J. Marino with unsuitable advice, misrepresentation and

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November 28, 2016

NY Broker Solicits Teachers in Risky Variable Annuities

According to an article in the New York Times, Walter Marino of Benjamin Securities,

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September 12, 2013

Overview of Variable Annuity Securities Fraud Cases

The following is intended to provide a brief primer on variable annuities, some of

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November 22, 2011

John Hancock Scales Back Variable Annuity Offerings and Exposure

According to a recent article in the investmentnews.com, John Hancock “has pulled

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August 31, 2011

When is the Sale of Variable Annuities a Securities Regulation...

As a national securities litigation law firm and investor protection advocate, the

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October 21, 2010

Information Regarding Waddell & Reed’s Sales Practices

Waddell & Reed’s sales practices have been the subject of regulatory inquiry

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