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joseph peiffer new orleans attorney ameriprise 22 million dollar NASD  

Joe Peiffer and Jim Swanson, lawyers with the New Orleans law firm Correro Fishman Haygood Phelps Walmsley & Casteix LLP, say many of their clients have been forced back into the work force and in some cases have had to sell their homes to make ends meet. http://www.josephcpeiffer.com

 

 
 
Tags:  Joseph C. Peiffer  joe peiffer  Joseph Peiffer  22 million dollar NASD settlement 
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Published:  February 03, 2012
 
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Slide 2: http://JosephcPeiffer.com/ http://JosephcPeiffer.com/ http://JosephcPeiffer.com/ considered inapproprtate lor retirees who are more concerned with generating income than accumulating additional assets because they often charge large made more than $25,000 on Ms. Salatich's account. She withdrew approximately S189,000 from her account during the 12 monthn commissions and fees, among other things. Take the ease of 73-year-old Pat Salatich, a nurse for 25 years at Exxon. In Mr. McFadden was her broker, and when she shut the account she had just $73,000 left. She is currently living primartly off her $1,500 monthly Sociul Security puy 2000, she says she entrusted Mr. McFadden with S565,383, of which $493,306 was placed in an Amertcan Skandia vanable annuity. The selling point: the ment. "I feel you should continue taking out $4,000 a month and enjoy yourself and let me worry about tile market," he wrote In its January notice to Securities America, the NASD raised numerous concerns about the supervision of Mr. 1\kFa..ddcn, according to people who have to her in May 2001. annuity had a death benefit, which would leave set amount to her heirs. As part of the contract she had to pay $4,91!0 a year a for scV(m yean; even though the benefit certified public accountant in good standing. The NASD's January notice of possible civil charges also criticizes the firm's failure to review many trades, according to these people. At issue in the arbitration was the firm's inability to review thousands of trades Mr. McFadden made 1n the annuity accounts of the Exxon employees. Mr. Spinar testified during arbitration that this is a "fundamental difficulty" but uddcd Securities America is trying to Mr, .TvTrFR.rlde-n's claims that he was a David Spinar, the finn's chief compli· ance officer, testified during the arbitration that the finn simply failed to verify expired when she was 70. Mr. McFadden reviewed the notice. "crack that nut." http://JosephcPeiffer.com/ http://JosephcPeiffer.com/ http://JosephcPeiffer.com/

   
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