Continue reading \u203a<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"The Financial Industry Regulatory Authority Inc. fined H. Beck $400,000 on November 20, 2018 for failing to maintain and enforce its own written supervisory procedures. Failing to maintain their procedures has resulted in the unsuitable sale of L-share variable annuities tied to long-term riders. H. Beck is an independent broker-dealer based in Maryland. It has […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[577,597],"tags":[],"class_list":["post-7945","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions","category-l-share-variable-annuities"],"yoast_head":"\n
FINRA Fines H. Beck $400,000 For Failing To Enforce Procedures — Securities Arbitration Lawyers Blog — April 15, 2019<\/title>\n<meta name=\"description\" content=\"FINRA fined H. Beck $400,000 for failing to maintain and enforce its own supervisory procedures, which resulted in the unsuitable sale of L-share variable annuities tied to long-term riders.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.silverlaw.com\/blog\/finra-fines-h-beck-400000-for-failing-to-enforce-procedures\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"FINRA Fines H. Beck $400,000 For Failing To Enforce Procedures — Securities Arbitration Lawyers Blog — April 15, 2019\" \/>\n<meta name=\"twitter:description\" content=\"FINRA fined H. 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The Financial Industry Regulatory Authority Inc. fined H. Beck $400,000 on November 20, 2018 for failing to maintain and enforce its own written supervisory procedures. Failing to maintain their procedures has resulted in the unsuitable sale of L-share variable annuities tied to long-term riders.<\/p>\n