Stefan Shimshidian Involved in GWG L Bond Disputes
Stefan Shimshidian (CRD# 3043669), a broker registered with Cabot Lodge Securities, violated industry rules when selling GWG L Bonds, according to investor disputes. MDF Law is investigating the White Plains, New York-based financial professional for similar conduct. If you are a current or former client with concerns about your own accounts, contact us for a […]
Dave Smith, Intervest Broker, Involved in GWG Disputes
Dave Smith (CRD# 850797), a broker registered with Intervest International Equities, violated industry rules and recommended unsuitable investments, according to investor disputes. MDF Law is investigating the Colorado Springs, Colorado-based financial professional for similar conduct. Current or former clients with concerns about their accounts should call us for a free consultation. Keep reading to learn […]
Doug Nelson, LPL Broker, Allegedly Sold Unsuitable GWG L Bonds
Doug Nelson (CRD# 4609776), a broker registered with LPL Financial, recommended an unsuitable investment, according to investor allegations. MDF Law is investigating the Pahrump, Nevada-based financial professional for similar conduct. We urge investors with concerns about their accounts to reach out today. Continue reading this post to learn more about the disputes involving Mr. Nelson. […]
Eric Felsenfeld, Ameriprise Broker, Involved in GWG Disputes
Eric Felsenfeld (CRD# 4496689), a broker registered with Ameriprise Financial, misrepresented investments in GWG, according to investor disputes. MDF Law is investigating the Rockville, Maryland-based financial professional for similar conduct. If you suffered losses in your accounts, call for a free consultation with one of our investor advocates. More information about the allegations involving Mr. […]
Donald Hancock Sanctioned over GWG L Bond Sales
Donald Hancock (CRD# 828811), a broker registered with Moloney Securities, failed to exercise reasonable diligence in the sale of GWG L Bonds, according to a recent sanction. MDF Law is investigating the Manchester, Missouri-based financial professional for similar conduct. Current or former clients with concerns about their own investments are encouraged to contact us for […]
Moloney Securities Fined over GWG L Bond Sales
Moloney Securities (CRD# 38535) reached a settlement in September with the Securities and Exchange Commission (SEC) over sales of bonds issued by GWG Holdings. Known as “GWG L Bonds,” these investments were backed by life settlements. GWG filed for bankruptcy in April 2022 amidst an SEC investigation into its sales of these products. SEC Settlement: […]
Bo Nicholson Involved in GWG L Bond Dispute
Bo Nicholson (CRD# 6050450), a broker registered with Capital Investment Group, violated securities law when selling GWG L Bonds, according to an investor dispute. MDF Law is investigating the Raleigh, North Carolina financial professional for similar conduct. If you have concerns about investments in your accounts, contact us for a free consultation. To learn more […]
Peter Goffin Involved in More GWG Disputes
Peter Goffin (CRD# 1617710), previously a broker registered with Newbridge Securities, recommended investments in GWG Holdings that led to losses, according to several investor disputes. MDF Law is investigating the former Boca Raton, Florida-based financial professional for similar conduct. If you have concerns about losses in your accounts, call us today to speak with an […]
Kyle Chapman Suspended over GWG L Bond Sale
Kyle Chapman (CRD# 6303483), formerly a broker registered with American Trust, unsuitably recommended a GWG L Bond investment, according to a recent enforcement action. MDF Law is investigating the Henderson, Nevada-based Foundations Investment Advisors representative for similar conduct. If you have concerns about investments in your accounts, call us to speak with a lawyer. More […]
Betsy Whipple Allegedly Sold Unsuitable GWG Investments
Betsy Whipple (CRD# 2703262), a broker registered with Osaic Wealth, violated Regulation Best Interest, according to investor disputes. MDF Law is investigating the Hiko, Nevada-based financial professional, who was previously a representative of Newbridge Securities, for similar conduct. If you suffered losses in your accounts, contact us for a free consultation. The following post details […]