Current Investigations
Jacobson Law P.A. Investigating Puerto Rico Municipal Bonds and Closed-End Bond Funds
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 …