(there was no antecedent debt where debtor paid broker in advance to procure insurance); see Stoumbos v. Kilimnik, 988 F.2d 949 (9th Cir.) (payment to redeem stock that had already been issued in return for services rendered was not on account of an antecedent debt), cert. denied, ... Visit Document
Buy Prudential (PRU) October 1, 2012
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American International Group - Wikipedia, The Free Encyclopedia
Insurance annuities, mutual funds: Revenue: US$ 64.237 billion (2011) hoping to broker a deal for a non-governmental $75 billion line of credit to the company. Prudential was to buy the pan-Asian life insurance company, American International Assurance ... Read Article
UNITED STATES OF AMERICA Before The SECURITIES AND EXCHANGE ...
Distributed by an affiliated broker-dealer through a network of independent broker-dealers and banks. 8. “Market timing” refers to (a) frequent buying and selling of shares of the same Prudential Annuities Holding Company, Inc., and ... Read More
Contracting Appointment Instructions
Annuities and LTC: ‐ Prudential ‐ Reliance If Yes, Broker/Dealer Name: _____ CRD #: _____ Please list any Honors you currently hold: _____ Doing Business As: Individual Business Entity ... Retrieve Doc
Contracting Appointment Instructions
Annuities and LTC: ‐ Prudential ‐ Reliance Has any insurance or financial services company or broker-dealer terminated your contract or appointment or permitted you to resign for reason other than lack of sales? ... Retrieve Content
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Prudential PLC for $35.5B » Buffett: Directors, officers should be punished for Login | Register Submit MetLife top seller of annuities in 2009 VA assets surged in 4Q – but sales dwindled ... Get Content Here
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Login required). Carly Schulaka is a managing editor at FPA. Only Prudential Annuities with a broker-dealer), followed closely by dual registered reps, registered reps and independent IAR/RIAs affi liated with a broker-dealer ... Document Retrieval
In its first enforcement action involving a broker-dealer stock borrow program, Prudential - $1,050,000 fine; UBS - $1,000,000 fine; Merrill - $250,000 fine; The firm provided 88,000 converting customers incompatible login information for its systems, ... Access This Document
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