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Articles Posted in James Moniz

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FINRA Suspends Financial Advisor Over Unsuitable Variable Universal Life (VUL) Sales Practices

The Financial Industry Regulatory Authority (FINRA) sanctioned broker James Moniz (Moniz) concerning allegations that while registered with Signator Investors, Inc. (Signator) Moniz made unsuitable recommendations to a married couple that they purchase a Variable Universal Life insurance policy (VUL) on the husband’s life and use the proceeds of a reverse…

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