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

According to a recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), SG Americas Securities was censured and fined $20,000 for violations of equity trade reporting. FINRA alleged that between May 1, 2014 through August 31, 2014, the firm failed to submit 1,862 last sales reports of transactions in designated securities. This is against securities rules and regulations. If you invested money with SG Americas Securities, please call our securities law offices in Chicago to speak to an attorney about your options of suing the firm in the FINRA arbitration forum on a contingency fee basis. The call is free with no obligation.

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