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Our experts frequently write blog posts about the findings of the research we are conducting.

Displaying 11-12 out of 12 results for "Equity Indexed Annuities".

FINRA Fines H&R Block Financial Advisors

(Feb 2010)

FINRA Fines H&R Block Financial Advisors $200,000 for Inadequate Supervision of Reverse Convertible Notes Sales, Suspends and Fines Broker for Unsuitable Sales to Retired Couple

The Financial Industry Regulatory Authority (FINRA) issued a press release today announcing that it had

[fined] H&R Block Financial Advisors, Inc., (n/k/a Ameriprise Advisor Services, Inc.) $200,000 for failing to establish adequate supervisory systems and procedures for supervising sales of [reverse convertible...

FINRA Regulatory Notice: Variable Annuities

(Feb 2010)

FINRA Reminds Firms of Their Responsibilities Under FINRA Rule 2330 for Recommended Purchases or Exchanges of Deferred Variable Annuities

The Financial Industry Regulatory Authority (FINRA) published Regulatory Notice 10-05 reminding firms of their responsibilities concerning deferred variable annuities. Annuities can carry costs and risks that many investors may not be aware of because brokers who are incentivized by commission-generation do not make them clear to investors. Costs...

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