FINRA Fines Eight Broker-Dealers for Violations Related to Sales of Variable Annuity L-Shares

FINRA Fines Eight Broker-Dealers for Violations Related to Sales of Variable Annuity L-Shares Posted on Friday, November 25, 2016 at 10:00 AM From the Desk of Jim Eccleston at Eccleston Law LLC: FINRA has fined eight firms which include Voya Financial Advisors, Kestra Investment Services, FTB Advisors and five broker-dealer subsidiaries of Cetera Financial Group, comprising of Cetera Adviso.Read the full article