Tag: Investment News

Our Concerns Regarding the Sale of Insurance as an Investment

May 24, 2017 / Resources , Tags: ,

We believe a recent case before the National Adjudicatory Council (NAC) is a good example of what concerns us about the sale of insurance as an investment or a surrogate for an investment. The case involves a North Carolina investment professional by the name of Cecil Ernest Nivens in Gastonia (Charlotte area), North Carolina.  Nivens was registered to sell securities through NY LIFE SECURITIES LLC (CRD#:5167) until 2014. Nivens regulatory […]

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