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Articles Posted in due diligence GWG Renewable Secured Debentures

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Broker Sanctioned Over Unsuitable Sales of Private Placement Securities

All brokers and broker-dealers have an obligation to ensure that their investment or investment strategy recommendation is suitable for the customer.  All sales efforts must be reasonable and appropriate for the investor based upon the investor’s risk tolerance, investment objectives, age, financial circumstances, other investment holdings, experience, and other facts…

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