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MidAmerica Financial Services Fined for Failure to Supervise

February 12, 2016 | Posted by : Guiliano Law Group | Failure To Supervise, Investment and Regulatory News, Unregistered Securities, Variable Annuites | Comments Off

MidAmerica Financial Services, located in Joplin, Missouri, was censured and fined $150,000 by Financial Industry Regulatory Authority (FINRA) after consenting to findings that the firm had failed to establish and maintain supervisory systems associated with placements and deferred variable annuities. Letter of Acceptance, Waiver and Consent, No. 2014039194101 (Jan. 30, 2016). FINRA canceled the firm’s […]

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MidAmerica Financial Services Fined for Failure to Supervise

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