Meyer refused to appear for on-the-record testimony requested pursuant to FINRA Rule 8210. As a result, he violated FINRA Rules 8210 and 2010 and is barred from associating with any FINRA member in all capacities...

Raney refused to appear for on-the-record testimony requested pursuant to FINRA Rule 8210. As a result, Raney violated FINRA Rules 8210 and 2010 and is barred from associating with any FINRA member in all capacities...

From June 2019 to February 2020, Vigil recommended 10 unsuitable L-share variable annuity exchanges to nine customers, and two unsuitable variable annuity purchases to two customers, without a reasonable basis to believe that the recommendations were suitable. In connection with these transactions, Vigil made negligent misrepresentations and omissions of material fact about the variable annuities’ costs on transaction documents. Vigil also forged a customer’s variable annuity application by photocopying the customer’s signatures from a different document.