Monthly Archives: October 2014
SEC Approves New FINRA Rule to Allow Arbitrators to Immediately Report Fraud — Even in the Middle of an Arbitration
SEC Approves New FINRA Rules on Untraded REITs and DPPs
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 …