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Convinced FINRA not to pursue any action against a major broker-dealer in an investigation of equity-indexed annuities.

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Convinced FINRA not to pursue any action against our client, a major registered broker-dealer, after we provided a Wells submission and met with senior FINRA Enforcement staff. The issue concerned equity-indexed annuities.
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Experience - Convinced FINRA not to pursue any action against a major broker-dealer in an investigation of equity-indexed annuities.
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