Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christy Earhart (Earhart), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Earhart recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on September 21, 2022.
GWG filed Chapter 11 bankruptcy as a debtor in possession in April 2022. Claimant files this claim against Arque for a number of causes of action including but not limited to breach of fiduciary duty, negligence and violation of various state securities laws and FINRA rules. Respondent denies all allegations in their entirety.