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Tag: variable annuity fraud

Blog, Securities Fraud

John Hancock Scales Back Variable Annuity Offerings

According to a recent article in the investmentnews.com, John Hancock “has pulled back on its annuity distribution and expects to...

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Blog, Securities Fraud

When is the Sale of Variable Annuities a Securities Regulation Violation?

As a national securities litigation law firm and investor protection advocate, the firm often speaks to investors who have experienced...

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Blog, Securities Fraud

FINRA Arbitration Claim filed Against NEXT Financial

The White Law Group announces that it has filed a Financial Industry Regulatory Authority (FINRA) arbitration statement of claim involving...

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Blog, Securities Fraud

FINRA Investigates Long Island firm David Lerner & Associates

According to the New York Post, in May 2010, FINRA accused Long Island brokerage firm David Lerner Associates and its head trader, William...

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Blog, Securities Fraud

FINRA fines Next Financial for Supervisory Failures

In 2009, FINRA announced that it had fined NEXT Financial Group, Inc., headquartered in Houston, Texas, $1 million for supervisory...

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Blog, Securities Fraud

Information Regarding Waddell & Reed’s Sales Practices

Waddell & Reed’s sales practices have been the subject of regulatory inquiry on several occasions. Back in 2005, FINRA resolved its...

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