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The firm allegedly didn't disclose its parent company paid a teacher union entity $10,000 a month “for its exclusive endorsement” as its preferred financial services partner, according to the regulator.
July 29 -
The $1.8 billion deal is expected to close in mid-2020.
December 10 -
The regulator was allegedly inquiring about whether incentives at an firm unit rewarded salespeople for pitching higher-cost products.
October 29 -
Reg BI would boost sales because the products fill a pressing need for income over long lifespans, the executives say.
October 12 -
Trump’s call for tariffs on steel and aluminum imports, and subsequent worries of a trade war, have recently taken a toll on emerging markets investments.
March 7 -
Three firms have fired the broker, whose former clients have won $494,000 in settlements.
May 3 -
Lightyear Chief Executive Donald Marron is getting a second chance to purchase the insurer's broker-dealer arm.
January 26