Florida
Get the latest on Florida's financial regulations, enforcement actions and litigation.
Voya Faces Suit Over Universal Life Policy Premium Hike
By Allison BellThe plaintiffs contend that the premium suddenly jumped to $90,000, from $25,000, without warning.
September 22, 2023
Yes, Homeowners Insurance Is Your ConcernFor many high-net-worth clients, this has suddenly become the top financial headache.
September 08, 2023
Ex-Edward Jones Employee Alleges Abuse In Suit Against Firm, AdvisorThe advisor screamed at the employee repeatedly and made her cry, according to the lawsuit.
June 09, 2023
Ex-RBC, Ameriprise Broker Charged With Kidnapping Is Barred by FINRARBC fired Scott Matalon after he was arrested; the bar stems from a client complaint at Ameriprise.
May 25, 2023
Florida Adopts Reg BI-Friendly Annuity Sales Rule UpdateAdvocates fear a showdown with the SEC if more states don't step up soon to regulate fixed annuities.
May 18, 2023
First Command Sues LPL Over Alleged Advisor PoachingThe military-focused firm says LPL recruited three of its advisors and caused them to violate agreements.
May 05, 2023
Oppenheimer Ordered to Pay Another $14M Over Ponzi SchemeA FINRA arb panel ruled against Oppenheimer for a third time after clients were steered to invest in a sketchy fund.
May 04, 2023
Florida's DeSantis Swings Back at ESG With New LawThe new House Bill 3 could create complications for investment managers in a wide range of practices.