What Did Your Brokerage Firm or Investment Adviser Do Wrong With GWG
Published On: November 18, 2015

The Financial Industry Regulatory Authority (FINRA) banned Lighthouse Point, Florida resident, Edmond Harris from the securities industry. He was accused of improperly using discretionary trading authority in customer accounts when he was associated with Miami-based Ladenburg Thalman & Co.

Aldo Comuzzi, a Boca Raton, Florida resident, was also banned from the industry by FINRA after allegedly engaging in excessive trading and using improper discretion without written approval in trading when he was registered with Dawson James Securities.

Alejandro Marin Aigster agreed to a ban from the securities industry after an investigation into whether he had an involvement in an unapproved loan when he was registered with Mercantil Commercebank Investment Services in Coral Gables, Florida.

Frederick Perry was fined $7,500 and banned from the securities industry for one year. Perry allegedly signed two affidavits, falsely swearing that he and a Bank of America customer executed loan documents on international waters to save the customer Florida Stamp Tax Law monies. The documents were actually signed in the state and were for $56 million and $30 million.

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