Jeffrey Noard Allegedly Made Unsuitable Recommendations Re: GWG Renewed Debentures

New Orleans investment fraud attorney

Did you invest in GWG Renewable Secured Debentures? The Peiffer Wolf investment recovery attorneys are currently probing Jeffrey Noard, a financial advisor from Milwaukee, Wisconsin, and his alleged involvement in the sale of GWG Renewable Secured Debentures. Back in June of 2012 Jeffrey Noard, who was registered with Allied Beacon from February 2011 to June… Read more »

Robert Fontaine Suspended One Month, and Fined $10,000 (Including Disgorgement of $2,000 in Commissions) for Recommending Approximately $146,000 in GWG Debentures

investment fraud attorneys

Stockbroker Robert Fontaine, of Hubertus, Wisconsin and Freedom Investors Corporation, recommended and sold $146,000 of GWG Renewable Secured Debentures, an illiquid and high-risk alternative investment, in July 2013, the Financial Industry Regulatory Authority (FINRA) alleges. FINRA alleged that Fontaine had no acceptable basis for recommending these investments to his clients, and that said investments were… Read more »

David Escarcega’s Sale of More than $1.8 Million of GWG Renewable Secured Debentures Being Investigated

In August 2014, FINRA filed a complaint against David Escarcega, an advisor in Phoenix, Arizona, concerning his marketing of more than $1.8 million of GWG Renewable Secured Debentures. Escarcega is currently a registered representative with Center Street Securities, Inc., a broker-dealer with 82 registered representatives. FINRA brought at least its fifth disciplinary action against a… Read more »

GWG Renewable Secured Debentures Helped Lead to Suspension of Michael Wurdinger

Cleveland stockbroker fraud lawyer

GWG Renewable Secured Debentures, an illiquid and high-risk alternative investment, played a large role in the sanctions levied against Michael John Wurdinger by the Financial Industry Regulatory Authority (“FINRA”). Wurdinger, formerly associated with Center Street Securities, Inc., was suspended by FINRA relating to allegations that he failed to supervise sales of GWG Renewed Secure Debentures…. Read more »

Anil Vazirani Accused of Selling GWG Renewable Secured Debentures Without Registering with FINRA

Anil Vazirani, formerly associated with Center Street Securities, Inc., was fined and suspended by the Financial Industry Regulatory Authority (“FINRA”) relating to allegations that he was not registered with FINRA as required by regulatory rules. Vazirani, from May 2012 through December 2012, solicited the sales of more than $500,000 of GWG Renewable Secured Debentures to… Read more »

Michael John Wurdinger Tied to Selling of Highly Risky Renewable Secured Debentures

Investment fraud lawyers

Michael John Wurdinger, an investment professional in Nashville, TN, failed to satisfactorily oversee the sales of risky and illiquid GWG Renewable Secured Debentures by investment professionals he supervised, according to the FINRA report. The Peiffer Wolf law firm’s securities practice attorneys Jason Kane and Joe Peiffer are investigating the matter on behalf of the investors… Read more »