Nathan Andrew Harmon (CRD #4988618, San Antonio, Texas) was assessed a deferred fine of $10,000 and suspended by FINRA for nine months for allegedly engaging in an unapproved outside business activity by selling an equity-indexed annuity not approved for sale by his member firm to a client, and receiving compensation as a result. FINRA's findings […]

The Financial Industry Regulatory Authority (FINRA) recently suspended and fined a broker for a social media violation involving equity index annuities writes Elizabeth Festa in a recent article for LifeHealthPro. The registered representative publicly released videos through YouTube, sending out invitations to seminars and letters regarding bonus incentives that did not comply with FINRA’s rules, […]