Tag Archives: GWN Securities Inc

GWN Broker Barred In FINRA Investigation

Clarence L. McGill of Palm Beach Gardens, Florida, a stockbroker formerly employed by GWN Securities Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he failed to comply with FINRA’s requests in an investigation into allegations of McGill’s potential unsuitable investment recommendations […]

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FINRA Fines GWN For Failure To Supervise UIT Discounts

GWN Securities Inc. is a brokerage firm headquartered in Palm Beach Gardens Florida that has been censured and fined one hundred thousand dollars by Financial Industry Regulatory Authority (FINRA) based upon consenting to findings that the firm failed to supervise its unit investment trust business to ensure that customers were provided with discounts when eligible […]

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GWN Registered Representative Barred For Obstruction

November 07, 2017  |   Posted by :   |   Forgery, Mutual Fund Fraud   |   0 Comments

William H. Paterson, of Palm Beach Gardens, Florida, a former GWN Securities, Inc. registered representative, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he obstructed a FINRA investigation into allegations of his sales practice violations as alleged within a customer initiated […]

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GWN Securities Fined By Regulator

April 20, 2017  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

GWN Securities, Inc., a brokerage firm headquartered in Palm Beach Gardens, Florida, has been fined $20,000.00 by Florida Office of Financial Regulation based upon consenting to findings that the firm failed to discover that its registered representatives had engaged in outside business activities, utilized advertising materials that had not been approved by firm principals, and […]

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GWN Securities Stockbroker Suspended For Unsuitable Sales

November 30, 2016  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Ronald E. Harrison, of Palm Beach Gardens, Florida, a stockbroker formerly registered with GWN Securities Inc., had his securities registration in The State of Texas suspended for ninety days based upon allegations that Harrison made an unsuitable investment recommendation to a customer, and effected transactions without having been properly registered with the Texas Securities Commissioner. […]

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