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Epperson & Greenidge is investigating brokerage firms that recommended GWG L Bonds to investors
On April 20, 2022 GWG Holdings, Inc. (GWG) filed for bankruptcy in the U.S. Bankruptcy Court for the Southern District of Texas (case 22-90032). According to an article in the Wall Street Journal, published on the same day, the bankruptcy was due to “accounting issues...
read moreFINRA suspends Kevin C. Yang (CRD #2834317, Pasadena, California)
March 7, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Yang was assessed a deferred fine of $5,000 and suspended from association with any FINRA member in all capacities for 20 business days. Without admitting or denying the findings,...
FINRA suspends Timothy John Beall (CRD #4458189, Eau Claire, Michigan)
March 8, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Beall was assessed a deferred fine of $10,000 and suspended from association with any FINRA member in all capacities for nine months. Without admitting or denying the findings, Beall...
FINRA suspends Omer Ozeren (CRD #6171522, Chatsworth, California)
March 9, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Ozeren was assessed a deferred fine of $10,000, suspended from association with any FINRA member in all capacities for three months, and ordered to pay $9,388, plus interest, in...
FINRA suspends Douglas Fairchild Bradley (CRD #2850255, La Jolla, California)
March 12, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Bradley was assessed a deferred fine of $10,000 and suspended from association with any FINRA member in all capacities for 45 days. Without admitting or denying the findings, Bradley...
FINRA suspends Ricardo Alfredo Estrada (CRD #4130208, Coral Gables, Florida)
March 12, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Estrada was assessed a deferred fine of 5,000 and suspended from association with any FINRA member in all capacities for two months. Without admitting or denying the findings,...
FINRA suspends Michael Murphy Hurtgen (CRD #1742647, Englewood, Colorado)
March 12, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Hurtgen was fined $5,000 and suspended from association with any FINRA member in all capacities for two months. Without admitting or denying the findings, Hurtgen consented to the...