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: Securities Law Prof Blog

FINRA Fines Fifth Third Securities for Unsuitable Variable Annuity Transactions

By Securites Lawprof

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FINRA announced today that it fined Fifth Third Securities, Inc., (FTS) of Cincinnati, OH, $1.75 million for a series of violations related to variable annuity sales and exchanges. FINRA found that FTS made 250 unsuitable sales and exchanges to 197...

Full post as published by Securities Law Prof Blog on April 14, 2009 (boomark / email).

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