What Did Your Brokerage Firm or Investment Adviser Do Wrong With GWG
Published On: October 9, 2016

Stoltmann Law Offices is investigating Paul Smyth, who was recently barred from the industry after he failed to respond to a Financial Industry Regulatory Authority (FINRA) investigation. FINRA was investigating Smyth’s involvement regarding allegations that he misappropriated or stole customer premiums for life insurance policies, and that he forged signatures on policies. These are against securities rules and regulations. Smyth was registered with Northwestern Mutual Investment Services in Wilton, Connecticut from January 2005 until November 2010 and MML Investors Services in Fairfield, Connecticut from November 2010 until October 2015. He has one customer dispute against him, which is currently pending. Please call our securities law offices in Chicago today at 312-332-4200 to speak to an attorney about your options of bringing legal recourse against MML Investors Services on a contingency fee basis.

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