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Browsing Hashtag: #VariableAnnuities

Investor Protection

Office Manager Rifles Through Her Family’s Brokerage Accounts

June 26, 2020

Investor Protection

A Broker in Financial Difficulty Spells T-R-O-U-B-L-E

June 25, 2020

Bad Brokers

Customer at Risk By Her Broker’s Cover-Ups

November 25, 2019

Investor Protection

Broker Suspended 9 Months for Trying to Protect Customers

November 18, 2019

Regulatory Sanctions

FINRA Reports Disciplinary Actions Against 12 Firms, 48 Individuals

September 19, 2019

Regulatory Sanctions

FINRA Reports Disciplinary Actions Against 6 Firms, 30 Individuals

July 17, 2019

Regulatory Sanctions

6 Ways to Fleece One's Insurance Customers / Policyholders

March 11, 2019

Wall Street News

U.S. Exchanges to Sue SEC, ETF Failure Rate is High ... And Other Headlines and Headliners

February 18, 2019

Wall Street News

Goldman, Paribas, HSBC, SocGen are Cost Cutting, While Wells Fargo Has New Audit Chief ... And Other Headlines and Headliners

February 7, 2019

Regulatory Sanctions

Too Few Supervisors for Too Many RRs and V/A Contracts

February 5, 2019

Regulatory Sanctions

Broker Caught Sharing Commissions with Sales Assistant

January 28, 2019

Regulatory Sanctions

FINRA Reports Disciplinary Actions Against 8 Firms, 42 Individuals

January 16, 2019

Regulatory Sanctions

Unsuitable Variable Annuities Switches: Let's Ban the Broker

December 28, 2018

Regulatory Sanctions

Customer Complaint Upends Variable Annuity Sale by Unregistered Person

December 18, 2018

Compliance Concepts

Suitability for Retail Customers (FINRA Exam Findings - Part 2)

December 12, 2018

Regulatory Sanctions

FINRA Reports Disciplinary Actions Against 13 Firms, 39 Individuals

November 17, 2018

Wall Street News

Fines, Sanctions, Headlines & Headliners (6/25)

June 25, 2018

Regulatory Sanctions

Thou Shalt Not Permit Self-Supervision

June 21, 2018

Regulatory Sanctions

FINRA Nabs Fifth Third Securities on Variable Annuity Exchanges

May 8, 2018

Regulatory Sanctions

Supervision of Variable Annuities – The Bane of this FINRA Case Study

March 19, 2018

Regulatory Sanctions

Broker Opens Pandora’s Box After Altering a Customer’s Annuity Account Profile

November 3, 2017

Regulatory Sanctions

This Young Broker Struck Out on Integrity

October 20, 2017

Regulatory Sanctions

Broker Caught Dumping Unsuitable Annuities on Customer

September 19, 2017

Regulatory Sanctions

Broker Used Personal ID Information to Access Customers’ Account at Another Firm

September 19, 2017

Regulatory Sanctions

Summit Hits Bottom Over Supervisory Failures (Part 1)

August 21, 2017

Regulatory Sanctions

Former LPL Brokers Fraudulently Targeted Federal Retirees - SEC

July 31, 2017

Regulatory Sanctions

WWW: 33-Year Vet Alters Documents - Loses Job and Gets Suspended

April 21, 2017

Regulatory Sanctions

WWW: Verbal Discretionary Authority Leads to Fine, Suspension, Lost Job

April 10, 2017

Regulatory Sanctions

Allstate Financial Services Pays $1Mn to Settle FINRA Charges

March 8, 2017

Regulatory Sanctions

LPL Financial, Adviser Defrauded Retirees – Mass. Regulator

December 1, 2016

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