The following summation is from information available on FINRA's Website under “Disciplinary and Other FINRA Actions, April, 2014.” Mark Raymond Talley (CRD #4969783, Registered Representative, Ft. Mitchell, Kentucky) was barred by FINRA for allegedly recommending to his customer that he should replace an existing variable annuity with a new variable annuity. FINRA's findings stated that […]

The following information was obtained on FINRA’s website’s ‘Disciplinary Actions, January 2012.”   Andrew James Aragona (CRD #1320844, Registered Representative, Deerfield Beach, Florida)   was named as a respondent in a FINRA complaint alleging that he recommended variable annuity switches to an elderly customer who had a moderate risk tolerance and a primary investment objective […]