Category: Variable Annuities
There are options for customers of W&S Brokerage Services, Inc. broker Ronald Daley (CRD# 4682165)? Ronald Daley was registered with W&S Brokerage Services, Inc. in West Chester, Ohio from 2009 to 2021, when he was terminated regarding, “W&SBS terminated his … Continue reading
There are options for customers of former NYLife Securities LLC broker Daniel Jossen (CRD# 5463761) who suffered investment losses. Jossen was registered with NYLife Securities LLC in Bethesda, Maryland from 2011 to 2021, when he was terminated regarding “Mr. Jossen … Continue reading
Erez Law is currently investigating former LPL Financial LLC broker Raymond Benjamin (CRD# 2855278) regarding variable annuity investment losses. Benjamin has been registered with Kingswood Capital Partners, LLC in Augusta, Georgia since 2018. Previously, Benjamin was registered with Wealthplan Partners … Continue reading
Were you the victim of former Equitable Advisors, LLC broker Kevin Klickna (CRD# 5640324)? Klickna was registered with Equitable Advisors, LLC in Springfield, Illinois from 2013 to 2021, when he was terminated regarding “RR discharged due to repeated document integrity … Continue reading
There are options for customers of former Northwestern Mutual Investment Services, LLC broker Chad Mackland (CRD# 4933804) who suffered investment losses. Mackland was registered with Lion Street Financial, LLC in Council Bluff, Iowa from 2018 to 2020. Previously, Mackland was … Continue reading
In January 2021, FINRA sanctioned VALIC Financial Advisors, Inc. to pay a $350,000 fine. FINRA found that between January 2017 and October 2018, VALIC Financial Advisors, Inc. failed to establish a reasonably designed system and written supervisory procedures for the … Continue reading
There are options for clients who lost money investing with MML Investors Services, LLC broker Harrison Nathan (CRD# 3275199). Nathan has been registered with MML Investors Services, LLC in Atlanta, Georgia since 2010. Nathan has been the subject of one … Continue reading
Erez Law is currently investigating LPL Financial LLC broker Mitchell Griffin (CRD# 3129686) regarding variable annuity investment losses. Griffin has been registered with LPL Financial LLC in Columbus, Mississippi since 2017. Previously, Griffin was registered with Axa Advisors, LLC in … Continue reading
In January 2021, FINRA fined VALIC Financial Advisors $1.75 million regarding variable annuity exchanges. According to FINRA’s Letter of Acceptance Waiver, and Consent (AWC), from October 2011 through December 2014, VALIC Financial Advisors failed to establish, maintain and enforce a … Continue reading
In February 2021, Financial Industry Regulatory Authority (FINRA) ordered Triad Advisors to pay a $150,000 fine for not adequately supervising both short-term trades involving Class A shares of mutual funds and variable annuity exchanges, as well as not making timely … Continue reading