Variable Annuity Archives - Page 2 of 2 - FrankowskiFirm Blog Posts
MetLife To Pay Record Fine Of $25Marchive.php
MetLife has agreed to pay $25 million to settle an investigation of abuses pertaining to variable […]
by The Frankowski FirmFINRA, Press Releases & NewsMay 3 2016 Ex-MetLife, Pruco Broker Accused Of Deceptive Variable Annuity Sales Practicesarchive.php
FINRA has accused a former MetLife Securities Inc. and Pruco Securities Inc. broker, Winston Wade Turner, […]
by Richard FrankowskiBroker Check, FINRA, Fraud, Press Releases & NewsMarch 2 2016 FINRA December 2015 Disciplinary Actions: Part IIarchive.php
Wunderlich Securities, Inc. (Memphis, TN) submitted an AWC in which the firm was censured and fined […]
by Richard FrankowskiFINRA, Press Releases & NewsDecember 28 2015 Broker-Dealer Settles Variable Annuity Case for $475karchive.php
Comprehensive Asset Management and Servicing Inc. (“CAMS”) has agreed to pay $475,000 to settle claims that […]
by Richard FrankowskiFINRA, Press Releases & NewsDecember 15 2015 FINRA Wants ‘Significant Fine’ From MetLife For Variable Annuity Salesarchive.php
MetLife Inc., the biggest life insurer in the country, said that FINRA will seek a “significant […]
by Richard FrankowskiFINRA, Press Releases & NewsNovember 6 2015 What Advisers Get Wrong About Variable Annuitiesarchive.php
Both advisers and insurers believe that variable annuities with guaranteed benefit riders are the most complicated […]
by Richard FrankowskiNews & EducationOctober 19 2015 FINRA August 2015 Disciplinary Actions: Part IVarchive.php
Mark Andrew Bullivant of Fort Myers, Florida submitted a letter of acceptance, waiver, and consent that […]
by Richard FrankowskiFINRA, Press Releases & NewsSeptember 18 2015 LPL Financial Fined $11.7M For ‘Widespread Supervisory Failures’archive.php
FINRA ordered LPL Financial to pay $11.7 million in fines and restitution for what it called […]
by Richard FrankowskiPress Releases & NewsMay 13 2015