退休损失:首先盟国证券和财务顾问向退休人员支付超过160万美元的bob200体育投资建议,大都会人寿以另外1.89亿美元向欠款的个人支付,而杜克大学将支付超过1000万美元的费用,以解决指控ERISA违法行为的诉讼
投资者指控其退休基金的疏忽和不当行为WIN FINRA案
一种金融业监管机构(FINRA)panel arbitration is ordering First Allied Securities and financial adviser Larry Glenn Boggs to pay claimants and early retirees Nita and Mike Snow over $578K in compensatory damages, $500,000 in punitive damages, $350K in attorney’s fees, and $60K in other costs related to losses they sustained. Boggs had worked with the Snows on their early retirement plan, which included investing in the Sun America Life-issued variable annuity the Polaris Advantage II and other investments.
在其证券仲裁索赔中bob200体育,下雪寻求Boggs,First Allied证券,First Allied Advisory Securities和Louisiana,LLC的美国退休解决方案的赔偿。他们所有人都否认不当行为。