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    • Transamerica to Pay $8.8M to Settle Alleged Supervision Violations

    December 23, 2020 by Alex Padalka

    Finra says it has ordered Transamerica Financial Advisors to pay around $8.8 million over its alleged failures to supervise its registered representatives.

    From May 2010 to May 2016, the company allegedly didn’t adequately supervise the representatives’ recommendations of annuities, the industry’s self-regulator says in a letter of acceptance, waiver and consent published Monday. 

    Click HERE to read the full story via Financial Advisor IQ

    Originally Posted at Financial Advisor IQ on December 22, 2020 by Alex Padalka.

    Categories: Industry Articles
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