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Tag: securities regulation
L-share Annuity – Suitable Investment for you?
L-share Annuity – Investment Losses An L-Share Annuity is a common share class offered by a variable annuity that has a short...
Sala-Multi Series Fund and Foresee Strategies
The White Law Group continues to investigate potential FINRA arbitration claims against the broker-dealers that may have improperly sold...
Wadsworth Investment Co. Faces State Scrutiny
Wadsworth Investment Co. reportedly has been told by the Connecticut state Department of Banking that it has “…90 days to make changes...
BankAtlantic Bancorp Charged with Misleading Investors
According to a recent release from the Securities and Exchange Commission (SEC), they have “charged the holding company for one of...
Wells Fargo Fined $2 Million by FINRA
The Financial Industry Regulatory Authority (FINRA) has announced that it has levied a $2 million fine on Wells Fargo Investments, LLC....
Investors Encouraged to Research Financial Advisers
The USA Today recently ran a story in which they gave some tips on diligently selecting a financial advisor and encouraged investors to...
