Rex Securities Law
January 19, 2015
No Comments

Recovery Options for Investors Who Purchased GWG Debentures from Arque Capital

Recovery Options for Investors Who Purchased GWG Debentures from Arque Capital https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g January 19, 2015 May 23, 2016

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…

Rex Securities Law
December 4, 2014
No Comments

GWG Renewable Secured Debentures/ GWG Notes-Regulator Takes Action

GWG Renewable Secured Debentures/ GWG Notes-Regulator Takes Action https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g December 4, 2014 June 24, 2015

A search of the FINRA Disciplinary proceedings, as of December 3, 2014, reveals that the following actions involving GWG Renewable Secured Debentures have been brought by FINRA against the named brokerage…

Rex Securities Law
December 3, 2014
No Comments

Options for Investors Who Purchased GWG Debentures from Center State Securities

Options for Investors Who Purchased GWG Debentures from Center State Securities https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g December 3, 2014 June 23, 2015

Investors who purchased GWG Renewable Secured Debentures from Center State Securities should be aware of two recent FINRA sanctions: In July 2014 Center Street Securities was fined $100,000 by FINRA…