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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 bars Stephen John Woods (CRD #4390407, Freeport, New York)
March 15, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Woods was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Woods consented to the sanctions and to the entry of findings...
FINRA bars Thomas Alan Meier (CRD #1146044, Miami, Florida)
March 19, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Meier was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Meier consented to the sanction and to the entry of findings...
FINRA bars Gary John Basralian (CRD #14385, Springfield, New Jersey)
March 20, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Basralian was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Basralian consented to the sanction and to the entry of...
FINRA bars Matthew Thomas Cochran (CRD #5853600, Charlotte, North Carolina)
March 20, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Cochran was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Cochran consented to the sanction and to the entry of findings...
FINRA bars Michael Giokas (CRD #1398674, Clarence, New York)
March 23, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Giokas was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Giokas consented to the sanction and to the entry of findings...
FINRA bars Lawrence John Fawcett Jr. (CRD #5851474, Dix Hills, New York)
March 26, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Fawcett was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Fawcett consented to the sanction and to the entry of findings...