FINRA Offers Guidance on FINRA Suitability Rule 2111

Stockbroker Law - Tuesday, February 26, 2013
FINRA Offers Guidance on FINRA Suitability Rule 2111

In Regulatory Notice 12-55 (http://www.finra.org/web/groups/industry/@ip/@reg/@notice/documents/notices/p197435.pdf), FINRA addressed a requiremen ..

Read More

Deferred Variable Annuities and Client Suitability

Stockbroker Law - Saturday, February 23, 2013
Deferred Variable Annuities and Client Suitability

Deferred variable annuities are investment products which have features with both insurance and securities (mutual fund) characteristics. Th ..

Read More

Capital Region and Upstate New York Banks Are Selling Variable Annuity Contracts to Senior Citizens - Securities/Investment Law Update

Stockbroker Law - Tuesday, December 04, 2012
Capital Region and Upstate New York Banks Are Selling Variable Annuity Contracts to Senior Citizens - Securities/Investment Law Update

Over the past several years, a number of banking institutions have been involved with the sale of variable annuities to retirees and senior citize ..

Read More

Living Benefit Annuities - Securities and Investment Law

Stockbroker Law - Tuesday, November 27, 2012
Living Benefit Annuities - Securities and Investment Law

In an article entitled Buying Your Own Pension, in the July/August 2012 edition of the AARP Bulletin, veteran financial writer, Jane Bryant Quinn, ..

Read More

Equity – Indexed Securities – Not Safe for Most Senior Investors: Investment/Securities Law Update

Stockbroker Law - Tuesday, November 20, 2012
Equity – Indexed Securities – Not Safe for Most Senior Investors: Investment/Securities Law Update

Equity-Indexed Annuities are complex financial instruments that have characteristics of both fixed and variable annuities. The return earned by i ..

Read More

Recent

Blog Posts

Blog Post

Archive

Investment & Broker
Misconduct

Investment Misconduct

Whistleblowers
 

Whistleblowers

Private Company
Disputes

Private Company Disputes

Personal
Injury

Personal Injury