FINRACases: Ameritas to Pay $180K Fine Over Variable Annuity Sales, UBS Ordered to Pay Former Broker $3M for Defamation, and 13 Investors Awarded $5M After Losses Allegedly Caused by Ex-LPL Financial/Edward Jones Broker

Ameritas Investment Corp.必须支付$ 180K的涉及VA销售的监督不足
The Financial Industry Regulatory Authority is ordering Ameritas to pay $180K for an监督系统不足这负责其多共享类可变年金销售。自我监管组织声称,在9/2013到7/2015之间,该经纪公司对VA销售的监督失败,并且没有足够的书面监督程序。

正是在此期间,该公司出售了近4,100个可变年金合同,在此过程中赚了5800万美元。697个销售额是L股份合同,票房约为1100万美元。这些类型的合同通常比更常见的B股合同较短的投降期。FINRA认为,经纪交易商未能在待售的不同股份或如何识别哪个客户最适合每个客户的情况下提供其注册代表的适当指导。

解雇经纪人将由瑞银支付300万美元
FINRA仲裁面板正在订购瑞银金融服务(UBS)to pay $3M in compensatory damages to a broker that it fired. The Claimant, James L. Springer, had made numerous claims, including wrongful termination, emotional distress, negligence, unfair competition, breach of fiduciary duty, unpaid wages, and others.

在瑞银(UBS)时,施普林格(Springer)监督了3.5亿美元的客户资产。他指责经纪公司诽谤他,以便在他决定离开该公司的美林(Merrill Lynch)之后保持客户。但是,在施普林格发出通知前两天,该公司解雇了他,据称对他的客户发表了虚假陈述,包括他没有为他们的最大利益行事,并收取了费用。

After he was fired, Merrill Lynch withdrew its employment offer and 18 client disputes naming him were submitted on BrokerCheck.

FINRA仲裁小组裁定,瑞银对施普林格案负有责任。尽管该小组否认他要求惩罚性损害赔偿和支付法律费用,但该小组命令该公司支付其前经纪人300万美元的诽谤奖励。这是有史以来最大的奖项。

Clients of Rogue Brokers Awarded Over $3M
FINRA仲裁员已向佐治亚州经纪人Jason Charles Parker代表的13名投资者授予了超过500万美元的投资者。他之前曾与LPL Financial(LPLA)和Edward Jones合作。

According to the investors, their retirement funds and life savings were “decimated” because of Parker, whom they claim forged their signatures, falsified records, and made unauthorized trades. Representing himself, Parker argued that the investors’ case was not submitted in a timely enough fashion and therefore should be tossed. The arbitrator, Brock B. Gordon, Sr., disagreed.

戈登指责帕克超越了“仅仅过失”,并故意违反佐治亚州的法律。他还指责帕克故意摧毁客户的储蓄,并对他们所遭受的伤害表示re悔。

FINRAhad previously barred Gordon. From ’07- 11, there were 10 regulatory disclosures, including customer disputes, in which he was named. Settlements were reached in some of the customer disputes.

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Finra fines Ameritas $180,000 over VA sales,投资新闻,2017年11月9日

瑞银(UBS)下令向佛罗里达经纪人支付300万美元的诽谤,顾问中心,2017年10月27日

Finra awards 13 clients $5 million against rogue broker,InvestmentNews,2017年10月26日

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