While many attorneys can identify potential securities law violations and assert claims such as negligence or breach of fiduciary duty,...
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Did DH Hill Advisor Les Kern Recommend GWG L Bonds?
Kingwood, Texas financial advisor Les Kern (CRD# 1038728) has received multiple investor complaints alleging his conduct resulted in five- or six-figure damages. Public records filed with a US bankruptcy court in Texas, meanwhile, list at least one current or former customer of Mr. Kern as creditor for an investment in GWG L bonds. The… Read More »
Pat Shortal: Moloney Advisor’s Client Invested $204K in GWG
At least one current or former client of Moloney Securities financial advisor Pat Shortal (CRD# 2233172) is listed as creditor for an investment in GWG L bonds, according to public records. Filed with a bankruptcy court in Texas, these records disclose an investment totaling $204,400. Financial Industry Regulatory Authority records show that Mr. Shortal… Read More »
Burt Bartlett: GWG L Bond Complaint Against Landolt Advisor
Mequon, Wisconsin financial Burt Bartlett (CRD# 1038728) recently received an investor complaint alleging that he sold unsuitable GWG L bonds. Public records filed with a US bankruptcy court in Texas list at least one current or former customer of Mr. Bartlett as creditor for a $152,625 investment in GWG Holdings preferred stock. Financial Industry… Read More »
Anthony Desjardins: Centaurus Advisor’s Client Listed as GWG Creditor
At least one current or former customer of Centaurus Financial advisor Anthony Desjardins (CRD# 6528916) is listed as a creditor for a GWG L bond investment, according to public records. Filed with a US bankruptcy court, the records disclose an investment of $100,000. Financial Industry Regulatory Authority records show that Mr. Desjardins is a… Read More »
Bob Bassari: Ex-Great Point Advisor Faces GWG Complaint
Former Chicago financial advisor Bob Bassari (CRD# 2695482) recently received an investor complaint alleging he recommended an unsuitable investment in a GWG L bond. Financial Industry Regulatory Authority records show that he was previously registered as a broker with Great Point Capital.
Robert Gustafson: $110K GWG Complaint Against Moloney Advisor
Moloney Securities financial advisor Robert Gustafson (CRD# 5753473) allegedly recommended an unsuitable corporate bond investment, according to a recent investor complaint. Public records filed with a US bankruptcy court show that at least one current or former customer of his is listed as a creditor for a $110,000 GWG L bond investment. Financial Industry… Read More »
Infinex Advisor Lisa Heathfield: Records List $100K GWG Investment
At least one current or former customer of Infinex Investments advisor Lisa Heathfield (CRD# 6372828) is listed as a creditor for an investment in GWG Holdings L bonds and/or preferred stock, according to public records. These records, filed with a bankruptcy court in Texas, describe an investment of $100,000. Financial Industry Regulatory Authority records… Read More »
Alex Maltez: Newbridge Advisor’s Client Invested in GWG L Bonds
A recent investor complaint against Deland, Florida financial advisor Alex Maltez (CRD# 6506116) alleges that he recommended unsuitable alternative investments. Public records filed with a US bankruptcy court in Texas indicate that at least one current or former customer of the former Newbridge representative is listed as a creditor for a $225,000 investment in… Read More »
Alan Pershing: West Advisory Group Rep’s Client Listed as GWG Creditor
At least one current or former client of Pittsburgh financial advisor Alan Pershing (CRD# 5942850) is listed in US bankruptcy court records as a creditor for an investment in GWG L bonds. Filed in Texas, the records describe an investment of more than $115,000. Financial Industry Regulatory Authority and Securities and Exchange Commission records… Read More »
Adrian Escarcega: Did Ex-Advisory Group Broker Recommend L Bonds?
At least one current or former customer of former Advisory Group Equity Services advisor Adrian Escarcega (CRD# 6525236) is listed as a creditor for investments in GWG Holdings L bonds, according to public records. Filed with a US bankruptcy court in Texas, these records describe investments totaling $85,000. Financial Industry Regulatory Authority show that Mr. Escarcega was last based in Woburn,… Read More »
