Tagged with "investing"

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I just wanted to say thanks again for preparing and executing my case in such a professional manner. It was a pleasure to watch two professionals take such pride in their work, as well as becoming personally in tune with your client (Me). I would personally recommend you and your firm to anyone.

John O.

LATEST NEWS AND ARTICLES

November 20, 2025
Supreme Alliance Fined for Failure to Supervise Variable Annuity Sales

The Financial Industry Regulatory Authority (FINRA) has fined Supreme Alliance $80,000 for failing to supervise recommendations and exchanges involving deferred variable annuities, as well as for failing to document background checks for newly hired registered representatives.

November 19, 2025
Lawsuit Accuses Inspired Healthcare Capital of Concealing Insolvency

According to news sources, a new lawsuit alleges that Inspired Healthcare Capital (IHC) and its CEO, Luke Lee, misrepresented the company’s financial health and concealed insolvency from a lender who extended a $1.5 million loan in late 2024.

 

November 18, 2025
Former FINRA Brokers with Misconduct Histories Flock to Insurance Industry, According to Recent Study

A recent academic study reveals that thousands of brokers expelled from the securities industry for misconduct nonetheless continue to operate under state insurance licenses, often selling annuities and other financial products to unsuspecting clients.