Variable Annuity Archives - FrankowskiFirm Blog Posts

FINRA SANCTIONS FIFTH THIRD SECURITIES, INC. OVER VARIABLE ANNUITY EXCHANGES

archive.php

The Financial Industry Regulatory Authority (“FINRA”) has announced a fine of $4 million and required an […]

by Richard FrankowskiSECMay 8 2018 Buffer Annuities: Why Regulators Are Seeing Complaints

archive.php

Regulators are beginning to shift their attention toward buffer annuities, a new kind of variable annuity. […]

by Richard FrankowskiFINRA, Legal Matters, Press Releases & NewsJanuary 25 2017 FINRA January 2017 Disciplinary Actions

archive.php

[fusion_builder_container type=”flex” hundred_percent=”no” equal_height_columns=”no” menu_anchor=”” hide_on_mobile=”small-visibility,medium-visibility,large-visibility” class=”” id=”” background_color=”” background_image=”” background_position=”center center” background_repeat=”no-repeat” fade=”no” background_parallax=”none” parallax_speed=”0.3″ […]

by Richard FrankowskiBroker Check, FINRA, Fraud, Legal Matters, Press Releases & News, SECJanuary 24 2017 Richard Gearhart & George McKown Charged With Securities Fraud

archive.php

Richard Gearhart of Lowell, Indiana and George McKown of Indianapolis, Indiana have been indicted on fraud […]

by Richard FrankowskiFraud, Press Releases & News, SECJanuary 16 2017 Valic Financial Advisors Fined $1.75M

archive.php

Referring to several conflicts of interest regarding how the firm paid brokers selling annuities, FINRA announced […]

by Richard FrankowskiFINRA, Press Releases & NewsJanuary 2 2017 Indexed Annuities Up, Variable Annuities Down In 2016

archive.php

Fixed index annuity sales are on pace for a record year in 2016 as low interest […]

by Richard FrankowskiNews & EducationNovember 22 2016 Texas Broker-Dealer Fined Over Variable Annuities

archive.php

An annuity exchange allows brokers to transfer an investor’s funds in an annuity to a new policy without […]

by The Frankowski FirmNews & EducationOctober 7 2016 FINRA Bars Broker Bernard McGee

archive.php

FINRA barred broker Bernard McGee and ordered him to pay about $250,000 in penalties for fraudulent […]

by The Frankowski FirmFINRA, Fraud, Press Releases & NewsJuly 20 2016 Winston Wade Turner Banned from Securities Industry by FINRA for ‘Unethical and Dishonest Actions

archive.php

FINRA banned Winston Wade Turner, a former Prudential Financial Inc. and MetLife Inc. broker, from the […]

by The Frankowski FirmFINRA, Press Releases & NewsJuly 13 2016 Variable Annuities The Subject Of High Scrutiny

archive.php

Recently, two FINRA enforcement officials emphasized at an insurance industry conference that variable annuities, which offer […]

by The Frankowski FirmFINRAJune 7 2016