Multiple investor complaints against Capital Investment Group’s Larry Stringer (CRD# 1996822) allege misconduct relating to real estate investments. Records provided...Read More
Becky Henson, Ex-Intervest Advisor, Receives GWG L Bond Complaint
Bradenton, Florida financial advisor Becky Henson (CRD# 4383083) recently received an investor complaint alleging misrepresentation and other forms of misconduct. Financial Industry Regulatory Authority records show that she is a broker registered with Cetera Investment Services. She is also known as Becky Urquhart.
Complaint Alleges Unsuitable GWG L Bond Recommendation
Ms. Henson’s BrokerCheck report, a FINRA-provided record of her background as a broker, discloses two investor complaints. The most recent, filed in October 2022, alleges that as a representative of Intervest International Equities Corporation, she provided unsuitable and misleading investment recommendations, misrepresented and omitted material facts, and failed to conduct reasonable due diligence in connection with an investment in GWG L bonds. The pending complaint alleges damages of $30,000.
SEC Investigates GWG Holdings
According to recent news reports, GWG Holdings was a Dallas-based investment firm that raised investor funds via the sale of “L bonds” to buy life insurance policies on the secondary market, reportedly seeking to repay debts with the policies’ payouts. The company revealed in a 2020 SEC filing that it was undergoing financial challenges and further that its activities were being probed by the SEC. It filed for bankruptcy in 2022, the same year that the SEC announced charges against Western International Securities and several of its representatives in connection with allegations that they violated SEC rules when they recommended and sold GWG L bonds. If your financial advisor misrepresented investments in GWG L bonds or over-concentrated these products in your portfolio, they may be liable for damages.
Edward Jones Denied 2009 Complaint
An earlier investor complaint, filed in 2009, alleged that Ms. Henson provided incomplete disclosures regarding the customer’s investments while she was a representative of Edward Jones. The complaint alleged damages of more than $5,000 and was denied by the firm.
FINRA: Henson Based in Bradenton, Florida
According to Financial Industry Regulatory Authority records, Becky Henson has spent 18 years as a broker. Based in Bradenton, Florida, she has been registered with Cetera Investment Services since July 2022. Before she registered with Cetera, she was a representative of Intervest International Equities Corporation in Sarasota, Florida from 2017 until 2022. She currently holds seven state licenses and has passed three securities industry qualifying exams. (Information current as of November 21, 2022.)
Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.