Tag Archives: WFG Financial Inc.

WFG Broker Terminated For Unauthorized Activities

November 03, 2018  |   Posted by :   |   Forgery, Investment and Regulatory News   |   0 Comments

Janice Ann Williams-Mayhew of Okemos Michigan a stockbroker formerly employed by WFG Investments Inc. has been discharged by the firm on March 22, 2017 supported by allegations that Williams-Mayhew placed an investor’s signature on a Representative Change Request form in regards to an annuity contract despite that investor not having been a customer of WFG […]

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WFG Financial Supervisor Suspended for Failure to Supervise

Carl W. Busch of Oklahoma City, Oklahoma, a Stockbroker with WFG Financial, was fined $5,000 and suspended in all principal capacities from association with any Financial Industry Regulatory Authority (FINRA) member firm after consenting to findings that he failed to adequately supervise the sales practice of Larry Michael Crabtree, a Stockbroker of WFG, who had […]

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