According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Lamb (Lamb), currently associated with Arete Wealth Management, LLC, has at least 10 disclosable events. These events include 10 customer complaints, alleging that Lamb recommended unsuitable investments in different investment products including debt securities among other…
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…
The Financial Industry Regulatory Authority (FINRA) in an acceptance, waiver, and consent action (AWC) and barring former Center Street Securities, Inc. (Center Street) broker Jason Lamb (Lamb) concerning allegations that between March 2012, to February 2013, Lamb was a registered principal and Chief Compliance Officer (CCO) at Center Street’s headquarters…
