November 14, 2014-Scottsdale, AZ
Arque Capital, Ltd. entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between March 2012-November 2012, they sold over $3.5 million of GWG Debentures to investors while providing a misleading sales brochure in violation of several NASD and FINRA rules
Arque Capital was censured and fined $50,000.
Case # 2012033994701
If you suffered damages on GWG Debentures purchased from Arque Capital or any other brokerage firm, contact us to learn about you remedies.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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