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FINRA Publishes Guidance, Text for New Rule Governing Deferred Variable Annuity Transactions

15 November, 2007

Washington, DC — The Financial Industry Regulatory Authority (FINRA) today published guidance to firms on a new rule covering transactions in deferred variable annuities. FINRA Regulatory Notice 07-53 outlines the provisions of Rule 2821, which will become effective on May 5, 2008.

Deferred variable annuities are hybrid investments containing both securities and insurance features... More here>>

References:
investment fraud annuity fraud stockbroker fraud finra fraud securities arbitration stockbroker misconduct
investment fraud annuity fraud stockbroker fraud finra fraud securities arbitration stockbroker misconduct

Labels: investment fraud annuity fraud stockbroker fraud finra fraud securities arbitration stockbroker misconduct

| Add Comment | View Comments (0) | Posted by: Nicholas J. Guiliano at 2:41:40 PM

Arbitration Discovery Fund - Morgan Stanley & Co.

02 November, 2007

FINRA recently took disciplinary action against Morgan Stanley & Co. Inc. (Morgan Stanley), the successor of Morgan Stanley Dean Witter (MSDW), for MSDW's failure to produce pre-September 11, 2001 email and updates to a supervisory manual to certain arbitration claimants during discovery. As part of a settlement of this action, a $9.5 million fund will be established to pay certain arbitration claimants... More here>>

References:
Morgan Stanley Fraud
Morgan Stanley Fraud

Labels: Morgan Stanley Fraud

| Add Comment | View Comments (0) | Posted by: Nicholas J. Guiliano at 2:50:33 PM

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