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GPB Capital Lawsuit

GPB Capital Holdings: GPB Capital Lawsuits Surge On Ponzi Scheme Allegations

Last month the SEC ordered GPB Capital Holdings into receivership to help return investors’ funds. This comes right after FINRA fined two broker-dealers for GPB Capital Holdings Sales this week. This comes after nearly 3 years of bad news and more investors file lawsuits to recover losses. Just last February GBP Capital Holdings and three …

GPB Capital Holdings: GPB Capital Lawsuits Surge On Ponzi Scheme Allegations Read More »

Western International Securities (WIS)

SEC Accuses Western International Securities, Five Brokers, Of Reg BI Violations Related to L Bond Sales of $13.3M

Recently a civil suit has been filed by the Securities and Exchange Commission (SEC) against Western International Securities (WIS) about GWG L Bond Sales. A number of broker-dealer’s registered representatives are also named in the suit that alleges violation of the Regulation Best Interest (Reg BI) standards. Specifically, the lawsuit references GWG L Bonds worth $13.3 …

SEC Accuses Western International Securities, Five Brokers, Of Reg BI Violations Related to L Bond Sales of $13.3M Read More »

Patrick Egan Western Securities CFP

Patrick Egan, Western International Securities (WIS), Suspended By CFP Board

Patrick Egan, a Western International Securities (WIS) certified financial planner (CFP), has been suspended by The Certified Financial Planner Board of Standards Inc., the professional body for personal financial planners in the U.S. the two key responsibilities of which are administering the CFP certification and setting standards for financial planning. Action against Patric EganContentsAction against …

Patrick Egan, Western International Securities (WIS), Suspended By CFP Board Read More »

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