Tag Archives: SWS

SWS Fined Failures to Supervise Variable Annuity Transactions

SWS is a FINRA member firm who at one point had in excess of 300 registered representatives operating out of various offices throughout the United States selling variable annuities among other investments to customers. On August 13, 2015, the firm concerning tax deferred variable annuities – violating FINRA Rules 2010, FINRA Rule 2030, and NASD […]

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