Florida
Get the latest on Florida's financial regulations, enforcement actions and litigation.
Policyholder Sues Pru Over Implementation of 100% LTCI Rate Hike
By Allison BellPrudential points to a policy provision authorizing it to increase premiums.
July 28, 2022
Schumer-Manchin Deal May Raise Some Life Insurers' TaxesHere are H.R. 5376 highlights for life, health and annuity advisors.
July 06, 2022
Barred Broker Who Did Merrill Stint Indicted in $100M Crypto ScamJoshua David Nicholas and two other defendants were charged with conspiracy to commit wire fraud and securities fraud.
June 13, 2022
Wells Fargo in Criminal Probe Over Fake Job Interviews: ReportThe U.S. attorney's office in Manhattan is investigating, according to The New York Times.
May 24, 2022
Ex-Wells Fargo Exec Who Alleged Fake Job Interviews Plans to Sue Over His FiringJoe Bruno says he was terminated for complaining that women and minorities were interviewed for already-filled roles.
April 29, 2022
Ex-Cetera Broker Gets $3M in Damages for Wrongful TerminationIn a FINRA arbitration case, the rep accused the firm of wrongfully terminating him in 2019.
April 15, 2022
Ex-UBS Rep Who Spent Client Money on Girlfriends' Gifts Pleads GuiltyThe former broker could spend up to 60 years in prison.
January 25, 2022
Ex-UBS Broker Spent $4.6M of Client Money on Gifts for Women: SECThe former broker is charged with defrauding a family out of more than $5 million.