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FINRA Fines Aegis Capital Broker Clayton K. Shum ,000 Over Variable Annuity and Reverse Mortgage Findings

FINRA Fines Aegis Capital Broker Clayton K. Shum $10,000 Over Variable Annuity and Reverse Mortgage Findings

FINRA has fined Burlingame, California broker Clayton K. Shum $10,000 and suspended him for four months over a variable annuity recommendation that put a senior customer’s interests second. The regulator also found that Shum arranged

FINRA Fines Aegis Capital Broker Clayton K. Shum $10,000 Over Variable Annuity and Reverse Mortgage Findings Read More »

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