What Did Your Brokerage Firm or Investment Adviser Do Wrong With GWG
Published On: August 31, 2016

According to publicly available records published by the Financial Industry Regulatory Authority (FINRA), Evan Fishman has received one regulatory sanction and two customer complaints. In 2013, a customer alleged that Fishman, while employed at Merrill Lynch, misrepresented material facts. In 2004, the Chicago Board Options Exchange sanctioned Fishman following allegations, among other, that he completed a customer’s order form after the customer had already signed it, and it included inaccurate information. He was censured and issued a fine of $7,500. In 2001, while Fishman was employed at Merrill Lynch, a customer alleged that he made an unsuitable recommendation and exercised unauthorized discretion. These are all against securities rules and regulations. Fishman was registered with Merrill Lynch in Alpharetta, Georgia from November 1992 until June 2006 and is currently registered with UBS in Atlanta, Georgia and has been since June 2006. He has two customer disputes against him. Please call our securities law firm located in Chicago, Illinois if you believe you have a case against UBS. The firm could be responsible for investment losses because they failed to properly supervise Evan Fishman and allowed him to violated securities laws. We sue firms such as UBS in the FINRA arbitration forum for investors on a contingency fee basis which means we do not make money unless your recover yours. 312-332-4200.

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