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Annuities (36)
Your search for Annuities returned 36 results.
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11/01/2018 | Content area: Investment Adviser
Concerns about the current volume, format and content of variable contract disclosures have led the SEC to propose a new “layered” disclosure approach...
10/31/2018 | Content area: Investment Adviser
The Securities and Exchange Commission is proposing rule and form amendments that are intended to help investors make informed investment decisions re...
5/10/2018 | Content area: Broker-Dealer
Variable annuity exchanges continue to bedevil Fifth Third Securities. The Cincinnati-based brokerage firm has been hit with its second significant FI...
10/16/2017 | Content area: Broker-Dealer
The Commission’s complaint alleged that, in connection with the sale of annuities, Long misled investors into believing that he and his recommended in...
8/03/2017 | Content area: Broker-Dealer
The SEC’s ReTIRE initiative and the work of the Commission’s broker-dealer task force is continuing to bear fruit—this time in the form of another enf...
3/09/2017 | Content area: Broker-Dealer
Initial projections that FINRA would realize a record year for fines in 2016 (BD Watch, Oct. 13, 2016) have been confirmed. The SRO ordered a record-s...
1/19/2017 | Content area: Investment Adviser
The exemption proposed in this document, if granted, would allow certain insurance intermediaries, and the insurance agents and insurance companies th...
12/01/2016 | Content area: Broker-Dealer
We are just over a month removed from seeing FINRA’s 2017 exam priorities, even while a holdover from the SRO’s 2015 exam priorities letter lingers—a ...
10/27/2016 | Content area: Investment Adviser
The Commission’s complaint alleged that, primarily targeting elderly annuity holders, Snisky using his Longmont, Colorado-based investment entity, Are...
10/13/2016 | Content area: Broker-Dealer
A dramatic increase in the fines reported by FINRA during the first-half of 2016 has the SRO poised to shatter its record-setting year of 2014 when it...
7/21/2016 | Content area: Broker-Dealer
Over a hundred opportunities to catch forged annuity withdrawal requests ultimately fell by the wayside for Prudential Annuities Distributors, leading...
7/19/2016 | Content area: Broker-Dealer
This responds to your May 31, 2016 letter on behalf of MML Investors Services, LLC ("MMLISI"); MetLife Securities, Inc. ("MSJ"); and Thrivent Investme...
6/10/2016 | Content area: Investment Adviser
Now that two separate lawsuits have been filed against the Department of Labor in hopes of eliminating its fiduciary duty rule, let’s consider their p...
5/05/2016 | Content area: Broker-Dealer
Materially inaccurate information in nearly three quarters of the variable annuity replacement applications approved by a MetLife broker-dealer subsid...
3/17/2014 | Content area: Investment Adviser
Some will even deceive the dying to make a buck. The SEC alleges Los Angeles-based broker Michael Horowitz sought out patients on their death beds to ...
11/23/2009 | Content area: Investment Adviser
Tucked inside Sen. Christopher Dodd's (D-Conn.) massive financial regulatory reform bill you'll find provisions that would encourage more states to ad...
11/16/2009 | Content area: Investment Adviser
Next year marks the compliance deadline for mutual funds to create a summary prospectus (IA Watch, Jan. 19, 2009). The SEC may extend the concept to v...
1/26/2009 | Content area: Investment Adviser
Even before the ink dried on the SEC's new final rule on indexed annuities, several insurance companies sued the agency over its attempt to regulate e...
1/19/2009 | Content area: Investment Adviser
From all appearances, Marcus Schrenker lived the high life. The adviser piloted his own planes and ran three businesses, including an SEC registered i...
1/05/2009 | Content area: Investment Adviser
The SEC voted 4-1 last month to classify equity-indexed annuities as securities, a move strongly opposed by the insurance industry because insurance a...


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