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Academic

: Securities Law Prof Blog

BOSC Settles Unsuitable DVA Sales Charges

By Securites Lawprof

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FINRA continues to crack down on sales of deferred variable annuities to senior citizens. It fined Banc One Securities Corporation (BOSC) of Chicago $225,000 for making unsuitable sales of deferred variable annuities to 23 customers and for having inadequate systems...

Full post as published by Securities Law Prof Blog on January 29, 2008 (boomark / email).

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