What Did Your Brokerage Firm or Investment Adviser Do Wrong With GWG
Published On: October 7, 2016

Did you lose money with Trustmont Financial Group? If so, the attorneys at Stoltmann Law Offices are interested in speaking with you about your losses. Trustmont is a Pennsylvania-based securities brokerage firm and the Financial Industry Regulatory Authority (FINRA) recently brought a regulatory action against it. FINRA accused the firm of failing to retain business-related emails, failing to inspect and register branch offices, failing to supervise its representatives’ use of consolidated reports, failing to supervise the content of a representative’s radio program and failing to properly supervise unit investment trust (UIT) transactions. Trustmont Financial Group agreed to pay a $100,000 fine for these transgressions.

Recently, the Securities and Exchange Commission (SEC) filed a complaint against one of Trustmont’s brokers, Peter Kohli. The SEC alleged that Kohli engaged in securities fraud related to his mutual fund, the DMS Funds. If you suffered losses with Peter Kohli, please call our securities law firm today to speak to an attorney about how you may be able to sue Trustmont Financial Group. Or, if you invested money with the firm, you may be able to bring a claim against it. By calling our Chicago-based securities law firm at 312-332-4200, you will be able to speak to an attorney about your options. Please call today.

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The posting on this site are mere OPINIONS and NOT statements of fact in any way whatsoever. The information should not be relied upon and there have been no findings made against the firms or individuals referenced on this site. In addition, this Blog is made available for educational purposes only and incorporates information from the web as well as to give you general information and a general understanding of the law, not to provide specific legal advice. By using this blog site you understand that there is no attorney client relationship between you and Stoltmann Law Offices (161 N Clark Street 16th Floor Chicago, IL 60601). The Blog opinions should not be used as a substitute for competent legal advice from a licensed professional attorney in your state.

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If you have suffered financial losses because of the negligence or fraud of your financial advisor or broker through unsuitable investment recommendations, over-concentration, churning, misrepresenting risks, conversion or selling away, you have legal rights and options to pursue recovery of those losses.

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