Insights
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...
March 14, 2022
Deutsche Bank Securities, Inc. has been fined $2 million by the Financial Industry Regulatory Authority (“FINRA”) for failure to follow FINRA’s rules regarding best execution of trad...
March 7, 2022
The Financial Industry Regulatory Authority (“FINRA”) has barred Dennis Ayre from the securities industry based on his refusal to cooperate with FINRA’s investigation into the unsuit...
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 24, 2022
An investment suitability analysis is required – by industry rules and by law – before a stockbroker makes a recommendation to his or her client. Stockbrokers are obligated to recommend an...
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...
February 14, 2022
German Nino has been charged with stealing $5.8 million from long-standing clients. Nino, 56, is a resident of Weston, Florida. He was a broker-dealer and investment adviser for UBS Financial Services...
February 10, 2022
In January 2022, the Securities and Exchange Commission (SEC) announced it awarded four whistleblowers $40 million after voluntarily providing information and assisting the SEC in three separate actio...
February 7, 2022
Brian Pearce (#1334784) was suspended from acting as a FINRA broker and fined $5,000 after thirty-six years of experience. Pearce signed a letter of Acceptance, Waiver, and Consent in November 2021 st...
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