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center street securities gwg problem

Stock Broker Sanctioned for Sale of GWG Debentures to Retirees
Stock Broker Sanctioned for Sale of GWG Debentures to Retirees 150 150 Rex Securities Law

February 29, 2016- Phoenix, AZ The Financial Industry Regulatory Authority (FINRA) barred Phoenix based broker David Joseph Escarcega for making unsuitable recommendations involving debentures to customers, many of whom were…

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Options for Investors Who Purchased GWG Debentures from Center State Securities
Options for Investors Who Purchased GWG Debentures from Center State Securities 150 150 Rex Securities Law

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…

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Center Street Securities Broker Jason Lamb Sanctioned Over Sale of GWG Debentures
Center Street Securities Broker Jason Lamb Sanctioned Over Sale of GWG Debentures 150 150 Rex Securities Law

Nashville, TN-8/12/2014 Jason Price Lamb of Nashville, TN, was recently sanctioned by the Financial Industry Regulatory Authority (FINRA) for in connection with the sale of GWG Renewable Secured Debentures.  In…

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FINRA Files Complaint vs. Center Street Broker David Escarcega Over GWG Debentures
FINRA Files Complaint vs. Center Street Broker David Escarcega Over GWG Debentures 150 150 Rex Securities Law

On August 25, 2014, the Financial Industry Regulatory Authority (FINRA) filed an enforcement action against Center Street Securities broker David Joseph Escarcega in connection with the sale of more than…

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