A formerly registered broker-dealer settled FINRA charges for failing to supervise the suitability of sales of variable annuities to customers.
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A broker-dealer settled FINRA charges for failing to (i) reasonably monitor, investigate and act upon red flags concerning variable annuity exchange recommendations and (ii) monitor use of external email and preserve business-related emails.
A broker dealer settled FINRA charges for supervisory violations over the firm's variable universal life insurance contracts and mutual fund business.
A firm settled FINRA charges for failing to properly supervise certain types of variable annuity transactions and to monitor variable annuity exchanges.
A firm settled FINRA charges for failing to detect that its representative recommended an unsuitable investment strategy.