National Planning Corp, a broker/dealer unit of the annuities company, Jackson National Life Insurance, has been ordered by the Financial Industry Regulatory Authority (FINRA) to pay $2.6 million to their 84 year-old client who purchased fraudulent promissory notes, non-traded real estate investment trusts (REITs) and other unsuitable investments recommended by their former broker, William Glaser, […]

EDWARD EARL MATTHES (EDWARD MATTHES, ED MATTHES) CRD#: 2788055, formerly of  MUTUAL OF OMAHA INVESTOR SERVICES, INC of OCONOMOWOC, WISCONSIN, has agreed to settle with the SEC. The former broker was accused of defrauding 26 of his mostly elderly clients, out of approximately $2.4 million between April of 2013 and March of 2019. According to […]