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Company: CUNA Brokerage Services, Inc.
Current Parent Company:
CUNA Mutual
Parent at the Time of the Penalty Announcement:
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Penalty: $100,000
Year: 2001
Date: December 5, 2001
Offense Group: financial offenses
Primary Offense: investor protection violation
Secondary Offense: financial institution supervision failures
Violation Description: NASD Regulation, Inc. announced two separate enforcement actions involving sales of variable annuities and the supervision of sales activities.
Level of Government: federal
Action Type: agency action
Agency: Financial Industry Regulatory Authority
Civil or Criminal Case: civil
HQ Country of Current Parent: USA
HQ State of Current Parent: Wisconsin
Ownership Structure of Current Parent: mutual
Major Industry of Current Parent: financial services
Specific Industry of Current Parent: insurance
Source of Data:
(click here)
Notes: FINRA is a securities industry self-regulatory body authorized by the federal government. This case was handled by its predecessor, the National Association of Securities Dealers (NASD).
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Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the
Update Log.