Wells Fargo

• Feb 8, 2024 Investor Loses $300,000 in Unapproved Securities-Based Loan Strategy

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• Jan 19, 2024 Louis Goff Charged with Fraud for Forex Scheme Resulting in Losses of $2.1 Million

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• May 30, 2023 Ameriprise Broker Cathie Joughin Barred During Elder Abuse, Misappropriation Investigation

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• May 26, 2023 Wells Fargo SoCal Broker Mark Brewer Sanctioned for Trying to Skirt Beneficiary Rule

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• May 3, 2023 Wells Fargo's Tyler Rigsbee Sentenced to Prison for Stealing Money from Elderly Clients

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• Sep 16, 2022 Advisor Mark Frankel Charged With Fraud

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• Aug 28, 2022 GWG Holdings Financing Package Approved, Further Highlighting Importance of Pursuing Arbitration with Firms That Sold L Bonds

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• May 27, 2022 Tarik Nehmatullah Barred After Allegedly Accepting Loan from Customer

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• Apr 12, 2022 GWG Sanctioned by NASDAQ As More Brokerage Sellers Appear

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