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Equity Indexed Annuities

August 07, 2017 Ex-LPL Financial Broker Stanley Scott Garrison Cited for Undisclosed Business, False Compliance Questionnaires
June 09, 2017 FINRA Sanctions James Cox for Unsuitable VA Recommendations, Outside Business Activity, Misrepresentation, Mutual Funds
April 01, 2017 Iain Reilly Fined & Suspended for Impersonating Customers in Phone Calls to Insurance Company
March 31, 2016 Alfred Chan Fined & Suspended for Unauthorized Indexed Annuities Sales, REIT Risk Disclosure Failures
June 06, 2014 Concentration Risk: The Implications of Putting All Your Eggs in One Basket
May 06, 2014 FINRA Targeting Fixed Annuity Sales' Risks, Firm Policies and Procedures
October 15, 2013 SEC: Small Violations Can Lead to Strong Enforcement, Sanctions, and Fines
March 28, 2013 James Martin Higgs Fined & Suspended for Selling EIAs Outside Firm