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Variable Annuities Archives - InvestmentNews

Variable Annuities Archives - InvestmentNews
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United statesJonathan dax cookeRetirement instituteExchange commissionProtective aspirationsSecure retirement institute

SEC obtains final judgment for ex-broker found liable in annuity fraud case

SEC obtains final judgment for ex-broker found liable in annuity fraud case
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United statesKristinw murnahanWilliamp hicksM graham loomisJonathan dax cookeSecurities exchangeNews serviceUs district courtTargeted newsNorthern districtThrift savings planSecurities exchange actSecurities actExchange act

Financial advisor Jonathan Dax Cooke and Keystone found guilty

The firm that did business as Federal Employee Benefit Counselors allegedly made hundreds of fraudulent VA sales to federal employees.

United statesPinnacle peakThomas gormanGurbir grewalJonathan dax cookeDorsey whitneyPinnacle peak private client groupKeystone capital partnersFederal employee benefit counselorsThrift savings planArizona based pinnacle peak private client groupDirector gurbir grewalExchange actRegulation and complianceLpl financial

SEC Prevails in LPL Rep Annuity Fraud Case

Jurors found the rep and his firm liable for fraudulently selling variable annuities to hundreds of federal employees.

United statesGurbir grewalJonathan dax cookeExchange commissionDealer taskEnforcement divisionDivision of enforcementKeystone capital partners incWhat you needNorthern districtKeystone capital partnersFederal employee benefit counselorsThrift savings planBroker dealer task force

Statement On Jury s Verdict In Trial Of Jonathan Dax Cooke And Keystone Capital Partners, Gurbir Grewal, Director, SEC Division Of Enforcement, March 22, 2022

<p><span>On March 21, after a nine-day trial, a jury in the Northern District of Georgia ruled in favor of the SEC against a former registered representative of LPL Financial, LLC, and a firm he co-founded.</span></p>

United statesGurbirs grewalJonathan dax cookeDivision of enforcementKeystone capital partners incNorthern districtEnforcement director gurbirKeystone capital partnersFederal employee benefit counselors