Finra fines CFD Investments $125,000 over variable annuities supervision
January 14, 2019 by InvestmentNews
The Financial Industry Regulatory Authority Inc. has censured CFD Investments of Kokomo, Ind., and fined it $125,000 for failure to establish and enforce adequate supervisory procedures in connection with the sale of variable annuities by its registered representatives.
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Originally Posted at InvestmentNews on January 11, 2019 by InvestmentNews.
Categories: Industry Articles