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Tag: variable annuity switching

FINRA Sanctions Fortune Financial for VA Sales, featured by top securities fraud attorneys, the White Law Group

Blog, Securities Fraud

February 13, 2023

FINRA Sanctions Fortune Financial for VA Sales

Fortune Financial Allegedly Unsuitably Recommended Variable Annuities   According to a Letter of Acceptance Waiver and Consent on...

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Annuity Sales on the Rise, may Surpass all Time High set in 2008  featured by top securities fraud attorneys, the White Law Group

Blog, Securities Fraud

June 9, 2022

Annuity Sales on the Rise, may Surpass all Time High

Annuity sales on the rise, may surpass all time high set in 2008.  CBS News reported today that annuity sales are on the rise thanks to...

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Ameriprise Subsidiary Reportedly Fined $5 Million For Variable Annuity Switching, featured by top securities fraud attorneys, the White Law Group

Blog, Current Investigations

May 28, 2022

Ameriprise Subsidiary Reportedly Fined for VA Switching   

 SEC fines RiverSource Distributors Inc. $5 Million for Improper Variable Annuity Exchanges   According to The Securities and Exchange...

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Variable Annuity Switching - Securities Fraud Lawyer, featured by top securities fraud attorneys, the White Law Group

Blog, Securities Fraud

March 1, 2022

Variable Annuity Switching – Securities Fraud Lawyer

Are you a Victim of Variable Annuity Switching? Overselling variable annuities or variable annuity switching can be a problem and is not in...

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Wells Fargo to pay $1.4 M in Restitution for Failure to Supervise VA Switches, featured by top securities fraud attorneys, The White Law Group

Blog, Securities Fraud

September 4, 2020

Wells Fargo to pay $1.4 M in Restitution

FINRA Sanctions Wells Fargo for Failure to Supervise VA Switches According to the Financial Industry Regulatory Authority (FINRA) on...

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Royal Alliance Associates

Blog, Current Investigations

January 22, 2019

Royal Alliance Associates – Failure to Supervise

Mass. Regulators charge Royal Alliance Associates with Failure to Supervise According to an article in Investment News today, the state of...

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