Articles Posted in Financial

SWS Financial Services Faces FINRA Charges For Improperly Supervised Sales of Variable Annuities
Samuels Yoelin Kantor LLP

Investment News reported today that SWS Financial Services is facing charges regarding its sale of variable annuity applications. The Financial Industry Regulatory Authority’s (FINRA) complaint alleges that SWS gave the go ahead on numerous variable annuity applications without principal review for suitability. FINRA requires that firms have supervisory systems and written procedures to supervise VA…

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