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…

Rex Securities Law
December 3, 2014
No Comments

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

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

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…

Rex Securities Law
December 2, 2014
No Comments

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 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 2, 2014 May 12, 2017

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…

Rex Securities Law
November 17, 2014
No Comments

Arque Capital Sanctioned by Regulators Over GWG Debentures

Arque Capital Sanctioned by Regulators Over GWG Debentures 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 November 17, 2014 June 23, 2015

November 14, 2014- The Financial Industry Regulatory Authority (FINRA) Department of Enforcement censured Arque Capital and fined the firm $50,000 for distributing misleading sales material in connection with the sales of…

gwg debenture

GWG Renewable Secured Debentures/ GWG Notes-Regulator Takes Action

Options for Investors Who Purchased GWG Debentures from Center State Securities

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

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

Arque Capital Sanctioned by Regulators Over GWG Debentures