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gwg litigation

Joseph Beam- Capital Investment Broker-Discloses 3 Customer Disputes-GWG Holdings Losses- Flat Rock, NC

Joseph Beam- Capital Investment Broker-Discloses 3 Customer Disputes-GWG Holdings Losses- Flat Rock, NC 150 150 ER

Joseph Beam Investigation   March 2023- Raleigh, NC According to publicly available records Joseph Beam,  a broker employed by Capital Investment Group, Inc.,  discloses three customer disputes. The Financial Industry Regulatory…

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Jon Ellefson- Intervest International Equities Broker-Discloses over 900K In Settlements and Pending Customer Disputes Involving GWG Bonds- Harker Heights, TX

Jon Ellefson- Intervest International Equities Broker-Discloses over 900K In Settlements and Pending Customer Disputes Involving GWG Bonds- Harker Heights, TX 150 150 ER

Jon Ellefson Investigation   February 2023- Harker Heights, TX According to publicly available records Jon Ellefson  a broker employed by Intervest International Equities Securities,  discloses three settled customer disputes and two…

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Kenneth New- Center Street Securities Broker-Facing Suit Over GWG L-Bond Losses – Merritt Island, FL

Kenneth New- Center Street Securities Broker-Facing Suit Over GWG L-Bond Losses – Merritt Island, FL 150 150 Rex Securities Law

Kenneth New/Center State Securities/GWG L-Bond Investigation   October 2022- Merritt Island, FL  According to publicly available records Kenneth J. New,  a broker employed by Center Street Securities,  discloses several customer disputes,…

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Glenn Romer- Center Street Securities Broker-Facing Suit Over GWG L-Bond Losses – Vero Beach, FL

Glenn Romer- Center Street Securities Broker-Facing Suit Over GWG L-Bond Losses – Vero Beach, FL 150 150 Rex Securities Law

Glenn Romer/GWG L-Bond Investigation   October 2022- Vero Beach, FL  According to publicly available records Glenn J. Romer,  a broker employed by Center Street Securities,  discloses several customer disputes, including a…

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Morgan Hill – Center Street Securities Broker-Customer Sues Over GWG L-Bond Losses – Woodstock, GA

Morgan Hill – Center Street Securities Broker-Customer Sues Over GWG L-Bond Losses – Woodstock, GA 150 150 Rex Securities Law

Morgan Darby Hill/GWG L-Bond Investigation   October 2022- Woodstock, GA  According to publicly available records Morgan Darby Hill,  a broker formerly employed by Center Street Securities,  discloses a pending customer suit…

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Christopher Wright – Center Street Securities Broker-Customer Sues Over GWG L-Bond Losses – Prescott, AZ

Christopher Wright – Center Street Securities Broker-Customer Sues Over GWG L-Bond Losses – Prescott, AZ 150 150 Rex Securities Law

Christopher Wright Investigation   September 2022- Prescott, AZ  According to publicly available records Christopher Wright,  a broker employed by Center Street Securities,  discloses a pending customer suit involving an investment in…

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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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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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