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…
read moreA 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…
read moreInvestors 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…
read moreMenomonee 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…
read moreNovember 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…
read moreRobert 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…
read moreIn 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…
read moreThe 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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