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gwg debenture lawsuit

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Eugene “Bron” Thompson- Capital Investment Broker- Discloses Customer Dispute Involving GWG Holdings- Wallace, NC
Eugene “Bron” Thompson- Capital Investment Broker- Discloses Customer Dispute Involving GWG Holdings- Wallace, NC 150 150 ER

Eugene Cebron “Bron” Thompson Investigation March 2023– Wallace, NC According to publicly available records,  Eugene “Bron” Thompson,  a broker with Capital Investment Group,  discloses a customer dispute related to GWG…

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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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Recovery Options for Investors Who Purchased GWG Debentures from Arque Capital
Recovery Options for Investors Who Purchased GWG Debentures from Arque Capital 150 150 Rex Securities Law

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…

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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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Jeffrey Noard-Cabot Lodge Broker- Named in Complaint by Securities Regulator Over Sale of GWG Debentures-Menomonee Falls, WI
Jeffrey Noard-Cabot Lodge Broker- Named in Complaint by Securities Regulator Over Sale of GWG Debentures-Menomonee Falls, WI 150 150 Rex Securities Law

Menomonee Falls, WI UPDATE MAY 2017–According to FINRA records, the FINRA hearing panel decision rendered 7/7/2015 fined Noard $2,500 and suspended him for 10 and also assessed him costs. The…

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Sale of GWG Debentures Results in Sanctions vs. Freedom Investors Corp. Broker Robert Fontaine
Sale of GWG Debentures Results in Sanctions vs. Freedom Investors Corp. Broker Robert Fontaine 150 150 Rex Securities Law

Robert Fontaine, a broker with Freedom Investors Corp. of Hubertus, Wisconsin, was sanction in August 2014 as a result of recommending and selling GWG Renewable Secured Debentures. The customers, a married…

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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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