Tag: variable annuity fraud law firm

March 20, 2014

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...

Blog, Securities Fraud Articles

March 28, 2012

Cadaret Grant fined over variable annuity sales.

Cadaret Grant, one of the nation’s largest independent broker-dealers, was recently fined by FINRA and ordered to pay a $200,000 fine, as...

Blog, Securities Fraud Articles

March 6, 2012

3 Former Prime Capital Brokers Barred by SEC

The SEC recently announced that it has found that Eric J. Brown, formerly associated with registered broker-dealer Prime Capital Services,...

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