Financial

GWG Holdings L Bonds Miss Interest Payments

Investment Fraud Lawyers File Complaints Against GWG Holdings Advisors

The securities fraud firm Haselkorn & Thibaut (InvestmentFraudLawyers.com) announced several securities fraud complaints against financial advisors who sold GWG Holdings, Inc., a publicly-traded company. The FINRA complaints concern several areas, including the financial condition of the company and misrepresentation …

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Cole Capital, Nicholas Schorsch,Vereit, CIM Group, Cole Capital,AR Capital,American Realty Capital 

FINRA Claim Filed Against Lincoln Financial For CIM Real Estate Finance Trust (Cole Credit Property Trust IV)

A FINRA claim has been filed by an investment fraud law firm on behalf of a resident of Kansas. It alleges unsuitable client investments made by Lincoln Financial Advisors Corp. in Cole Credit Property Trust …

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Merrill Lynch Fined $1.5M

Merrill Lynch Fined $1.5M for Lack of Supervisory Control on Short Positions in Municipal Securities

The Financial Industry Regulatory Authority (FINRA) has levied a fine of $1.5 million on Merrill Lynch. According to FINRA, the firm failed to implement documented procedures and systems for supervision, designed to facilitate compliance with …

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