Violation Tracker Individual Record
: CUNA Brokerage Services, Inc.
Current Parent Company
: CUNA Mutual
Parent at the Time of the Penalty AnnouncementPenalty
to see this data field
: December 5, 2001
: financial offenses
: investor protection violation
: financial institution supervision failures
: NASD Regulation, Inc. announced two separate enforcement actions involving sales of variable annuities and the supervision of sales activities.
Level of Government
: agency action
: Financial Industry Regulatory Authority
Civil or Criminal Case
HQ Country of Current Parent
HQ State of Current Parent
Ownership Structure of Current Parent
Major Industry of Current Parent
: financial services
Specific Industry of Current Parent
Source of Data
: (click here)
: 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).
: If an online information source is not working, check the Violation Tracker Data Sources page
for an updated link.
Current parent company note
: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log