Jacobson Law P.A. Investigating SWS Financial Services, Inc. for Improper Variable Annuity Sales

On September 29, 2014, the Financial Industry Regulatory Authority Inc.’s (“FINRA”) Department of Enforcement filed a formal complaint against SWS Financial Services Inc. (“SWS”) alleging that it approved numerous variable annuity application with no principal review for suitability (Disciplinary Proceeding …