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Valic Financial Advisors

Matthew S. Kocsis -Cambridge Investment Research Broker-Discloses Customer Dispute-Charlotte, NC

Matthew S. Kocsis -Cambridge Investment Research Broker-Discloses Customer Dispute-Charlotte, NC 150 150 Rex Securities Law

 JUNE 2017- Charlotte, NC According to publicly available records Matthew S. Kocsis, (CRD#4787057) ,  a  stockbroker who  is registered with Cambridge Investment Research discloses 2 prior customer disputes. The Financial Industry Regulatory…

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Houston Based Valic Financial Advisors Fined $1.75M by Securities Regulator

Houston Based Valic Financial Advisors Fined $1.75M by Securities Regulator 150 150 Rex Securities Law

November 2016-Houston, Texas The Financial Industry Regulatory Authority (FINRA) fined Valic Financial Advisors  (VFA)$1.75 million for conflicts of interest related to the way it compensates brokers selling annuities. FINRA found…

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Former MML Investors Services Broker From Neptune Beach, FL, Arrested in Iowa for Forgery & Theft

Former MML Investors Services Broker From Neptune Beach, FL, Arrested in Iowa for Forgery & Theft 150 150 Rex Securities Law

July 1, 2015 The Financial Industry Regulatory Authority (FINRA) entered a default decision against Jeffrey Alan Stewart barring him from associating with any FINRA member in any capacity for converting…

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