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Representative was permitted to resign while under internal review for suspicion of submitting non-variable life insurance applications containing inaccurate information to meet minimum earnings requirements. The Representative also provided his banking information to pay the premium for fixed insurance for an insured who did not meet the Firm's definition of an immediate family member. The Representative indicated the inaccurate information resulted from oversights and/or lack of effective communication with staff.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.