A recent investor complaint against Red Bank, New Jersey financial advisor Jase Simmons (CRD# 2438224) alleges that he violated multiple...
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IFP’s Aaron Cruz: Customer Invested $150K in GWG
At least one current or former client of IFP Securities advisor Aaron Cruz (CRD# 1961596) is listed as a creditor for an investment in GWG L bonds, according to public records. Filed with a bankruptcy court in Texas, these records describe a $150,000 investment. Financial Industry Regulatory Authority records show that Mr. Cruz is… Read More »
Kevin Nichols: IAA Advisor’s Customer Listed as GWG Creditor
At least one current or former customer of International Assets Advisory advisor Kevin Nichols (CRD# 1961596) is listed as a creditor for an investment in GWG L bonds and/or preferred stock, according to public records. Filed with a US bankruptcy court, these records disclose an investment of more than $284,000. Financial Industry Regulatory Authority… Read More »
Richard Schwartz: Did Ex-National Securities Advisor Sell GWG L Bonds?
At least 11 current or former customers of former National Securities advisor Richard Schwartz (CRD# 2037308) are listed as creditors for investments in GWG L Bonds and/or preferred stock, according to records filed with a US bankruptcy court in Texas. The records describe investments totaling more than $1.5 million. Financial Industry Regulatory Authority records… Read More »
Centaurus Advisor Steven Lazette: Client Bought GWG L Bond
At least one current or former client of Centaurus Financial advisor Steven Lazette (CRD# 5878255) is listed as a creditor for an investment in an L Bond issued by GWG Holdings, according to public records. These records, filed with a US bankruptcy court, describe an investment of $120,000. Financial Industry Regulatory Authority records show… Read More »
RF Lafferty’s Abraham Heller: Client Invested $350K in GWG
At least one current or former client of RF Lafferty & Company advisor Abraham Heller (CRD# 1636080) is listed as a creditor for investments in GWG Holdings L bonds and/or preferred stock. Filed with a US bankruptcy court, the records disclose investments of $350,000. Financial Industry Regulatory Authority records show that Mr. Heller is… Read More »
Steven Standley: $190K GWG Complaint Against DH Hill Advisor
A recent investor complaint against DH Hill Securities financial advisory Steven Standley (CRD# 4282051) alleges fraud connected to a GWG L bond investment. Public records filed with a US bankruptcy court in Texas show that at least one current or former client of Mr. Standley is listed as a creditor for an approximately $85,000… Read More »
Robert Bragg: Did Newbridge Advisor Recommend GWG?
Public records reveal that at least one current or former client of Newbridge Securities advisor Robert Bragg (CRD# 4767535) is listed as creditor for an investment in GWG L bonds. The records, filed with a US bankruptcy court, describe an investment of $84,000. Financial Industry Regulatory Authority records show that the broker and investment advisor… Read More »
Jamie Nowakowski: Equitable Advisor Faces 6-Figure Complaints
Equitable Advisors representative Jamie Nowakowski (CRD# 4472043) has received multiple investor complaints alleging her conduct resulted in six-figure damages. Public records filed with a US bankruptcy court in Texas show that at least one current or former client of Ms. Nowakowski is listed as creditor for a $75,000 investment in GWG Holdings. Financial Industry… Read More »
Lee Fotsch: Big River Advisor’s Client Bought GWG L Bond
At least one current or former customer of former Centaurus Financial representative Lee Fotsch (CRD# 2003513) is listed as creditor for an investment in a GWG L bond. Filed with a US bankruptcy court, these records describe an investment of $75,000. Financial Industry Regulatory Authority records show that the Fort Collins-based advisor is the… Read More »
Gary Korolev: Did Ex-Spire Advisor Recommend GWG?
At least six current or former customers of Vienna, Virginia financial advisor Gary Korolev (CRD# 1609191) are listed as creditors for investments in GWG Holdings, according to records filed with a US bankruptcy court. These records describe investments totaling more than $500,000. Financial Industry Regulatory Authority records show that Mr. Korolev was formerly registered as… Read More »
