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April 16, 2019 Frederick Holloway Barred for Improper Variable Annuity Exchange Recommendations & Dishonest Conduct
April 13, 2019 FINRA Identifies 5 High-Price Issues in Unsuitable Variable Annuity Recommendations
March 20, 2019 Law Offices of Jonathan W. Evans & Associates Investigating Dennis Albert Mehringer for Suitability, Overconcentration into Risky Bonds
December 22, 2018 Cetera Advisor Networks Fined $1.4 Million for Broker Koehler's Unsuitable Churning and Excessive Mutual Fund Trading
August 30, 2022 Kovack Securities Cited for Failing to Supervise Short-Term Mutual Fund Trades, Suitability Issues
May 09, 2022 LPL Financial Broker Bruce Amman Cited for Transacting $3.5 Million Private Placement Without LPL Approval
June 24, 2021 Farmers Financial Solutions Fined for Failing to Supervise Variable Universal Life, Mutual Funds Business
May 11, 2021 UnionBanc Investment Services Fined $100k for Variable Annuity Supervision Woes