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 show that Ms. Heathfield is a broker and an investment advisor registered in Hendersonville, North Carolina.

Investments in GWG Holdings may have been unsuitable for unsophisticated and/or conservative investors. As background, the Dallas-based company reportedly raised more than $1 billion from investors — including many retail investors — in its product known as “L bonds,” life settlement-backed debentures that would purportedly repay investors when the owners of the underlying life insurance policies passed away. The firm filed for bankruptcy in April 2022 after a series of financial difficulties, disclosing in SEC filings that it was under investigation by the SEC. More information about investments in GWG Holdings is available here.

According to the Financial Industry Regulatory Authority, Lisa Heathfield holds five years of securities industry experience. Based in Hendersonville, North Carolina, she has been a broker and an investment advisor with Infinex Investments since 2020. Her past registrations include Wells Fargo Clearing Services (Brevard, North Carolina; 2020), LPL Financial (Asheville, North Carolina; 2019), SunTrust Investment Services (Hendersonville, North Carolina), PNC Investments (New Smyrna Beach, Florida; 2015), and Wells Fargo Advisors (Daytona Beach, Florida; 2014-2015). Her credentials include the passage of five securities industry qualifying exams: the Investment Company Products/Variable Contracts Representative Examination, or Series 6; the Securities Industry Essentials Examination, or SIE; the General Securities Representative Examination, or Series 7TO; the Uniform Securities Agent State Law Examination, or Series 63; and the Uniform Investment Adviser Law Examination, or Series 65. She is licensed in North Carolina, Ohio, South Carolina, and Virginia. (Information current as of June 20, 2023.)

Carlson Law has represented at least nine investors in claims against their financial advisors for investments in GWG Holdings Inc. 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.