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    • Finra issues complaint against broker for unsuitable variable annuity sales

    April 27, 2017 by InvestmentNews

    The Financial Industry Regulatory Authority Inc. has issued a disciplinary complaint against former broker Walter Marino for recommending exchanges of non-qualified variable annuities to two customers without having a reasonable basis for recommending the transactions.

    Click HERE to view the full story via InvestmentNews; registration required

    Originally Posted at InvestmentNews on April 26, 2017 by InvestmentNews.

    Categories: Industry Articles
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