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Investigation: Securities America’s Sale of Non-Traded REITs
According to InvestmentNews, Securities America Inc. is under investigation by the Pennsylvania Department of Banking and Securities for...
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...
AXA Fined $25 million For Variable Annuity Changes
According to Financial Advisors Magazine, the New York Department of Financial Services fined AXA SA’s U.S. unit $25 million for...
Jefferies LLC Pays $25 Million Penalty
According to the U.S. Attorney’s Office of the District of Connecticut, New York based broker dealer, Jefferies LLC, entered into a...
FINRA Awards suggest REITs remain a problem
Based on recent awards, it appears that REITs continue to be a problem in the securities industry. From January 1, 2013 to December 31,...
