A.G. Edwards to repay some investors
A.G. Edwards & Sons LLC has agreed to a nearly $757,000 settlement with Missouri securities investigators concerning the alleged sale of variable annuities to elderly customers without proper documentation.</p><p>The investment firm, in a consent order, agreed to pay nearly $382,000 to 31 Missouri investors across the state. The investigation was triggered by a complaint from an 81-year-old investor after the liquidation of a variable annuity, according to a release Tuesday from the Missouri secretary of state’s office.</p><p>According to the order, A.G. Edwards’ agents allegedly sold the annuities “but could not produce records proving that they had ensured that these annuities were sold in compliance with the firm’s procedures.” The sales were made from July 2006 through June 2007.</p><p>In addition to the restitution, the brokerage must pay $375,000 to the Missouri Investor Education and Protection Fund, including the cost of the state’s investigation.
A.G. Edwards & Sons LLC has agreed to a nearly $757,000 settlement with Missouri securities investigators concerning the alleged sale of variable annuities to elderly customers without proper documentation.
The investment firm, in a consent order, agreed to pay nearly $382,000 to 31 Missouri investors across the state. The investigation was triggered by a complaint from an 81-year-old investor after the liquidation of a variable annuity, according to a release Tuesday from the Missouri secretary of state’s office.
According to the order, A.G. Edwards’ agents allegedly sold the annuities “but could not produce records proving that they had ensured that these annuities were sold in compliance with the firm’s procedures.” The sales were made from July 2006 through June 2007.
In addition to the restitution, the brokerage must pay $375,000 to the Missouri Investor Education and Protection Fund, including the cost of the state’s investigation.
a g edwards sons - News
AG Edwards & Sons LLC has agreed to a nearly $757000 settlement with Missouri securities investigators concerning the alleged sale of variable annuities to elderly customers without proper documentation. The investment firm, in a consent order,
Benjamin Franklin Edwards III was a stockbroker who expanded AG Edwards, a brokerage firm founded by his great-grandfather, from a regional firm to a nationwide stockbroking powerhouse, building it into the largest American brokerage firm headquartered
Kim Lutes, 812-8622 or kim.lutes@agedwards.com. Triad Job Search Network, 9 am Tuesdays, Covenant United Methodist Church, 1526 Skeet Club Road, High Point. Networking job club for professionals. 333-1677 or http://tjsn.net. Triad Job Search Network,
Prior to joining Centex, he was a senior equity analyst at AG Edwards & Sons, Inc. He earned his bachelor's degree from the University of Kansas and his master's degree from the John M. Olin Business School at Washington University According to
President of Investor Relations. As a complement to her technical expertise she was a stockbroker for four years with AG Edwards and Sons, Inc., now Wells Fargo Investment Advisors. Pamela holds a Bachelor's degree.
A.G. Edwards to repay some Missouri investors who bought annuities ...
A.G. Edwards & Sons LLC has agreed to a nearly $757,000 settlement with Missouri securities investigators concerning the alleged sale of variable annuities to elderly customers without proper documentation.</p><p>The investment firm, in a consent order, agreed to pay nearly $382,000 to 31 Missouri investors across the state. The investigation was triggered by a complaint from an 81-year-old investor after the liquidation of a variable annuity, according to a release Tuesday from the Missouri secretary of state’s office.</p><p>According to the order, A.G. Edwards’ agents allegedly sold the annuities “but could not produce records proving that they had ensured that these annuities were sold in compliance with the firm’s procedures.” The sales were made from July 2006 through June 2007.</p><p>In addition to the restitution, the brokerage must pay $375,000 to the Missouri Investor Education and Protection Fund, including the cost of the state’s investigation.
A.G. Edwards & Sons LLC has agreed to a nearly $757,000 settlement with Missouri securities investigators concerning the alleged sale of variable annuities to elderly customers without proper documentation.
The investment firm, in a consent order, agreed to pay nearly $382,000 to 31 Missouri investors across the state. The investigation was triggered by a complaint from an 81-year-old investor after the liquidation of a variable annuity, according to a release Tuesday from the Missouri secretary of state’s office.
According to the order, A.G. Edwards’ agents allegedly sold the annuities “but could not produce records proving that they had ensured that these annuities were sold in compliance with the firm’s procedures.” The sales were made from July 2006 through June 2007.
In addition to the restitution, the brokerage must pay $375,000 to the Missouri Investor Education and Protection Fund, including the cost of the state’s investigation.
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A. G. Edwards - Wikipedia, the free encyclopedia
A.G. Edwards was a member of the New York Stock Exchange and other major stock and commodities exchanges. ... AG Edwards & Sons sponsored the Nanuet Braves (Nanuet Little League ...
Administrative Proceeding: A.G. Edwards & Sons, Inc.
AG Edwards is a Delaware corporation with headquarters located in St. Louis, ... AG Edwards has been registered with the Commission as a broker-dealer ...
AG Edwards & Sons Incorporated, Bedford, TX : Reviews and ...
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