Insights
May 12, 2022
Ann Vanderslice, a/k/a Ann Werts has been named in a $250,000 FINRA arbitration claim brought by a customer alleging that Ms. Vanderslice made unsuitable investment recommendations and failed to do du...
May 10, 2022
Alabama Securities Commissioner Joseph Borg has brought a lawsuit against Financial Industry Regulatory Authority (“FINRA”) arbitrator Harvey Linder, alleging that Mr. Linder engaged in “fraud, corrup...
May 4, 2022
For more information on how to recover your losses in GWG Holdings Inc.’s L Bonds, please visit www.gwgclaims.com...
May 3, 2022
As previously covered in this space , GWG Holdings, Inc., a financial services firm based in Dallas, Texas, filed for bankruptcy on Wednesday, April 20. The bankruptcy followed the company’s failures ...
April 21, 2022
As previously covered in this space , GWG Holdings, Inc., a financial services firm based in Dallas, Texas, filed for bankruptcy on Wednesday, April 20. The bankruptcy filing had been predicted based ...
April 14, 2022
Investment News reports that GWG Holdings, Inc. is preparing to file for Chapter 11 bankruptcy. The leading cause of bringing the company to the verge of bankruptcy is its failure to pay investors. GW...
April 11, 2022
The term “hedge fund” refers to a cooperation between private investors. Because hedge funds are often only accepted by investors with substantial personal wealth, there are few laws in place to safeg...
March 17, 2022
One of the most widespread misunderstandings among individual investors is that to recover investment losses from a stockbroker or the broker-dealer for which he or she works, they must establish that...
February 28, 2022
Wells Fargo Advisors Financial Network, LLC and Wells Fargo Clearing Services, LLC (collectively, “Wells Fargo”) have submitted a letter of Acceptance Waiver and Consent , resulting in a c...
February 21, 2022
The SEC has filed a complaint against Safeguard Metals LLC and its owner, Jeffrey Santulan, for allegedly misleading hundreds of elderly investors and engaging in a multimillion-dollar scheme. Safegua...
September 1, 2021
The SEC has filed an emergency action to stop an alleged decade-long Ponzi scheme perpetrated by John Woods. The report claims that Woods raised more than $110 million from over 400 investors . The in...
September 1, 2021
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