Bates & Company, Inc.
|
Regional Vice President of Sales The Retirement Plan Company
|
AimPoint Pension
|
Defined Benefit Combo Cash Balance Compliance Consultant Loren D. Stark Company (LDSCO)
|
Loan & Distribution Specialist AimPoint Pension
|
Compass
|
“BenefitsLink continues to be the most valuable resource we have at the firm.”
-- An attorney subscriber
NASD Disciplines Three Firms, Three Brokers for Alleged Variable Annuity Abuses
National Association of Securities Dealers May 26, 2004
Press release. Excerpt: 'Variable annuities are complex products that are difficult for many investors to fully understand,' said Mary L. Schapiro, NASD Vice Chairman and President of Regulatory Policy and Oversight. 'The vast majority of our enforcement actions in this area involve suitability, disclosure and supervision issues, which is why we are proposing tougher rules specifically governing variable annuity sales.'
|
Please click here to report this link if it is broken (for example, if you see a "404 File Not Found" error message after you click on the linked news item's title). |
An important word about authorship: BenefitsLink® created this link to the news item, but we are not the news item's author (unless expressly shown above). |