Ron Whittingham Suspended Over Annuity Applications
by Admin Istrator | November 18, 2021 9:01 pm
Ron Whittingham (CRD 4175525) has been suspended by FINRA. The suspension was announced on October 28, 2021. Rob Whittingham is based in Orland Park, Il.
Important Details
- According to FINRA, Whittingham “falsified variable annuity replacement disclosure forms.” He did this to allegedly create the impression for clients that newer annuities [1]provided better features.
- Ron Whittingham agreed to pay a fine of $5,000.
- The suspension began on November 15, 2021 and will end on February 14, 2022.
- Ron Whittingham is currently registered with Cetera Advisors in Overland Park, Il.
FINRA’s AWC
2017055447502-Ronald-L.-Whittingham-CRD-4175525-AWC-sl[2]Download[3]
Did You Lose Money with Ron Whittingham?
Endnotes:
- annuities : https://mdf-law.com/practice-groups/financial-advisor-negligence/annuity-litigation/
- 2017055447502-Ronald-L.-Whittingham-CRD-4175525-AWC-sl: https://mdf-law.com/wp-content/uploads/2021/11/2017055447502-Ronald-L.-Whittingham-CRD-4175525-AWC-sl.pdf
- Download: https://mdf-law.com/wp-content/uploads/2021/11/2017055447502-Ronald-L.-Whittingham-CRD-4175525-AWC-sl.pdf
Source URL: https://mdf-law.com/ron-whittingham-cetera/