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: Securities Law Prof Blog

FINRA Fines 5 Bank Broker-Dealers for Improper Variable Annuities Sales

By Securites Lawprof

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FINRA announced today that it fined five bank broker-dealers a total of $1.65 million for deficient supervision and procedures related to variable annuity (VA), mutual fund or unit investment trust (UIT) transactions. Brokers at each of the firms operated out...

Full post as published by Securities Law Prof Blog on July 23, 2009 (boomark / email).

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