What Did Your Brokerage Firm or Investment Adviser Do Wrong With GWG
Published On: July 27, 2016

Stoltmann Law Offices is investigating Linda Dowd, a former broker with WFG Investments. Dowd was accused by the Financial Industry Regulatory Authority (FINRA) of having a customer in New Mexico sign blank account distribution forms to effectuate verbal requests to make withdrawals. This was against securities rules and regulations. Dowd also falsely stated that the customer received the distribution requests by email, when, in fact, she did not. For this, FINRA fined her $5,000 and suspended her for one year.

Dowd was previously registered with Hanifen, Imhoff, Investors Center, The Stuart-James Company, Jesup, Josephthal Securities, DE Frey & Co., WFG Investments in Boulder, Colorado from September 1995 until February 2015, Securities Service Network from February 2015 until March 2015 and Royal Alliance Associates in Lakewood, Colorado from March 2015 until December 2015. She has one customer dispute against her.

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