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Academic

: Securities Law Prof Blog

SEC Censures United Global Securities for Annuity Switching

By Securites Lawprof

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The SEC issued a cease-and-desist order against United Global Securities, Inc. and Richard D. Blair, finding that they engaged in the improper switching of variable annuities by convincing 17 customers to surrender variable annuities and repurchase new variable annuities twice...

Full post as published by Securities Law Prof Blog on September 29, 2009 (boomark / email).

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