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 […]
Bron Thompson Allegedly Sold Unsuitable GWG Investments
Bron Thompson (CRD# 4350479), a broker registered with Capital Investment Group, recommended unsuitable GWG L Bond investments, according to investor disputes. MDF Law is investigating the Dunn, North Carolina financial professional for similar conduct. If you lost money investing in products he recommended, contact us for a free consultation. More information about the disputes involving […]
Matthew Childs Suspended over Risky Investments
Matthew Childs (CRD# 3110916), a broker registered with Portsmouth Financial Services, recommended non-traditional exchange-traded products without a reasonable basis, according to a recent sanction. MDF Law is investigating the San Francisco financial professional for similar conduct. If you have concerns about your accounts, contact us for a free consultation. To learn more about the allegations […]
Tom Swan Allegedly Misrepresented Bond Investments
Tom Swan (CRD# 1698430), a broker registered with Western International Securities, misrepresented investments, according to multiple investor disputes. MDF Law is investigating the Westlake Village, California financial professional for similar conduct. If you have concerns about your portfolio, contact our attorneys for a free consultation. To learn more about the allegations against Mr. Swan, continue […]
Garrett Moretz Allegedly Misrepresented GWG L Bonds
Garrett Moretz (CRD# 4086791), a broker registered with LifeMark Securities, deceived investors when selling GWG L Bonds, according to Securities and Exchange Commission charges. MDF Law is investigating the Mooresville, North Carolina-based financial professional, who is also president of Moretz Wealth Management, for similar conduct. If you suffered losses on GWG L Bonds or other […]
David Goldstein Allegedly Misrepresented GWG L Bonds
David Goldstein (CRD# 1718066), an advisor registered with WealthPlan Partners, misrepresented an investment in GWG L Bonds, according to an investor dispute. MDF Law is investigating the Rancho Mirage, California broker for similar conduct. Contact us if you have concerns about your accounts. To learn more about Mr. Goldstein’s professional history and the allegations against […]