According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Audrey Kuwabara (Kuwabara), previously associated with Arque Capital, Ltd., has at least one disclosable event. These events include one customer complaint, alleging that Kuwabara recommended unsuitable investments in different investment products including debt securities among other allegations…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Terry Wheeler (Wheeler), previously associated with Arque Capital, Ltd., has at least one disclosable event. These events include one customer complaint, alleging that Wheeler recommended unsuitable investments in different investment products including debt securities among other allegations…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Ning (Ning), previously associated with Arque Capital, Ltd., has at least one disclosable event. These events include one regulatory event, alleging that Ning recommended unsuitable investments in different investment products including debt securities among other allegations…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nancy Zak (Zak), previously associated with Arque Capital, Ltd., has at least one disclosable event. These events include one customer complaint, alleging that Zak recommended unsuitable investments in different investment products including debt securities among other allegations…
The Financial Industry Regulatory Authority (FINRA) in an acceptance, waiver, and consent action (AWC) sanctioned Arque Capital, Ltd. (Arque) concerning allegations that since 2011 Arque has acted as the managing broker-dealer for an alternative investment – GWG Renewable Secured Debentures (the Debentures) offered by GWG Holdings, Inc, In that capacity…