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SEC

July 14, 2023 Alleged Ponzi Scheme Broker at Western International Barred Amidst Alleged Fraud, Unauthorized GWG Holdings Sales
June 20, 2023 LPL Financial Ex-Broker Patrick Thayer Charged with Misappropriating $1.3 Million from Client
February 10, 2023 Centaurus Financial Penalized $1 Million for Unsuitable Structured Product Sales
February 07, 2023 SEC Accuses Steve Susoeff, Meritage Financial Group, of Fraudulent Scheme
August 28, 2022 GWG Holdings Financing Package Approved, Further Highlighting Importance of Pursuing Arbitration with Firms That Sold L Bonds
June 21, 2022 Emerson Equity Predicts Further Adversity as Wholesalers Leave and GWG Holdings L Bond Losses Grow
June 16, 2022 Western International Securities Charged with Violating Regulation Best Interest by Recommending and Selling Unsuitable and Risky GWG L Bonds
April 22, 2022 After Causing Investor Losses, Bankrupt GWG Holdings Blames SEC Investigation For GWGH Failures