Tag Archives: Travis A. Wetzel

Prudential Annuities Fined Failure to Stop Thief

August 17, 2016  |   Posted by :   |   Investment and Regulatory News, Variable Annuites   |   0 Comments

Prudential Annuities Distributors, Inc., headquartered in Shelton, Connecticut, was censured and fined $950,000.00 by Financial Industry Regulatory Authority (FINRA) after consenting to findings that the firm had not identified and prevented misappropriation from a firm customer, and failed to properly implement its supervisory procedures to detect theft by former LPLFinancial broke, Travis A. Wetzel. Letter […]

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