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Tag:
variable annuity suitability
September 16, 2026
FINRA fines Sacramento-area firm The Logan Group Securities $70,000 over willful Reg BI violations in deferred variable annuity sales and a Form CRS that denied its disciplinary history
August 28, 2026
FINRA suspends former Grove Point broker Clayton K. Shum over a recommended $400,000 annuity addition for an 84-year-old, reverse mortgages, and customer data
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