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Articles Posted in VSR Financial Services

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FINRA Fines 8 Broker-Dealers For Failures of Supervision Over Variable Annuities

The Financial Industry Regulatory Authority Inc. (FINRA) announced in a News Release on November 2, 2016 that it fined eight broker-dealer firms regarding failures to supervise the sale of variable annuities.  FINRA announced that the following firms were fined a total of $6.2 million: VOYA Financial Advisors Inc., of Des Moines,…

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