Top

Fixed Annuities

July 31, 2024 FINRA Fines UBS $850,000 for Unapproved Annuities Supervision Failure Totalling $7.2 Million
January 26, 2024 Benchmark Investments Ex-Broker Todd Anderson Barred After Disputed Signature, Unsuitable Recommendations
January 30, 2023 SoCal Broker Jay Eng Cited for Impersonating Customer in Call with Annuity Company
December 30, 2021 Fraudulent Offerings, Unsuitable Recommendations Linked to Northstar Financial Service (Bermuda)
March 29, 2019 JWE Investigating Brokers Who Sold Future Income Payments (FIP) in $300 Million Ponzi Scheme
June 09, 2017 FINRA Sanctions James Cox for Unsuitable VA Recommendations, Outside Business Activity, Misrepresentation, Mutual Funds
November 16, 2016 John Hudnall Barred for Selling Away a REIT Investment to Elderly BancWest Customer
July 27, 2016 FINRA Bars Retirement Income Planner Nathan Silva for Failing to Cooperate with Misconduct Investigation