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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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GWG Renewable Secured Debentures/ GWG Notes-Regulator Takes Action

GWG Renewable Secured Debentures/ GWG Notes-Regulator Takes Action 150 150 Rex Securities Law

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…

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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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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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Arque Capital Sanctioned by Regulators Over GWG Debentures

Arque Capital Sanctioned by Regulators Over GWG Debentures 150 150 Rex Securities Law

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…

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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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Center Street Securities Sanctioned Over Sale of GWG Renewable Secured Debentures

Center Street Securities Sanctioned Over Sale of GWG Renewable Secured Debentures 150 150 Rex Securities Law

In connection with the sale of GWG Renewable Secured Debentures, in July 2014, FINRA censured Center State Securities, imposed a fine of $100,000 and required an undertaking that Center Street…

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FINRA Sanctions 79 Capital Securities & Broker Michael Ward Over Sales of GWG Renewable Secured Debentures

FINRA Sanctions 79 Capital Securities & Broker Michael Ward Over Sales of GWG Renewable Secured Debentures 150 150 Rex Securities Law

The Financial Industry Regulatory Authority (FINRA) recently brought an enforcement action against 79 Capital Securities of Orlando, Florida, and its CEO and controlling shareholder Michael M. Ward. In  Case #2103035565002,…

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