Securities Fraud and Mismanagement

Attorney and Counselor at Law

303-300-5022 / 844-253-5858 Toll Free

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Summit Brokerage

Losses in L-share variable annuities

by Jeff Pederson | Nov 2, 2016 | Uncategorized

If you have suffered losses in variable annuities sold to you by Voya or Cetera subsidiaries such as Cetera Advisors, Cetera Financial Specialists, First Allied, Kestra Investment Services, FTB Advisors, Summit Brokerage and VSR, or if you were sold a variable annuity...

Steepener Note Losses, Investors Capital or Trident Partners

by Jeff Pederson | Oct 6, 2016 | Uncategorized

Investors Capital Corp., a Cetera subsidiary, agreed to pay $1.1 million to settle Finra charges that it recommended unsuitable short-term trades in complex products to clients including steepener notes. Trident has agreed to pay a $50,000 fine. For more information,...

Securities Fraud and Mismanagement

Attorney and Counselor at Law

303-300-5022 / 844-253-5858 Toll Free

Summit Brokerage

Steepener Note Losses, Investors Capital or Trident Partners

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