Tag: variable annuity fraud lawyer
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...
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...
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,...
FINRA Fines Fifth Third Securities $1.75 Million
The Financial Industry Regulatory Authority (FINRA) announced in April that it has fined Fifth Third Securities, Inc., (FTS) of Cincinnati,...
