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FINRA FINES EIGHT FIRMS OVER $6 MILLION FOR ETF SALES

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03
Nov

FINRA FINES EIGHT FIRMS OVER $6 MILLION FOR ETF SALES

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FINRA FINES EIGHT FIRMS OVER $6 MILLION FOR ETF SALES

FINRA Fines Eight Firms over $6 Million for Sales of Multi-Share Class Variable Annuities and ETFs   FINRA (the Financial Industry Regulatory Authority) recently brought a regulator action against eight firms for the sales of multi-share class variable annuities.  FINRA brought claims against Voya Financial Advisors (formerly known as ING Financial Partners), Kestra Investment Services ...

10.0David P Neuman

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