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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 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...
FINRA bars Cody Michael Rock (CRD #6443924, Highlands Ranch, Colorado)
March 26, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Rock was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Rock consented to the sanction and to the entry of findings that...
FINRA bars Sanders Lane Spangler (CRD #4188542, San Antonio, Texas)
March 26, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Spangler was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Spangler consented to the sanction and to the entry of...
FINRA bars Matthew Singer (CRD #4972708, Aventura, Florida)
March 27, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Singer was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Singer consented to the sanction and to the entry of findings...
FINRA bars David Warren Olson (CRD #1700644, Largo, Florida)
March 28, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Olson was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Olson consented to the sanction and to the entry of findings...
FINRA bars Paul Eric Taboada (CRD #2033981, Old Brookville, New York)
March 30, 2018 – The Securities and Exchange Commission (SEC) dismissed Taboada’s application for review. Taboada was barred from association with any FINRA member in all capacities. The National Adjudicatory Council (NAC) had previously affirmed the findings and...