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Former broker Anthony Liddle misrepresented the risk of GWG 'L' Bonds, a popular product sold by his broker/dealer, the subject of the SEC’s first Reg BI action. Then, Liddle pocketed clients' money.
The regulator cited the 'extraordinary cooperation' of Securities America, Royal Alliance and SagePoint as the reason for no penalties beyond restitution.
Very few people survive the so-called “widow maker” heart attack. Fortunately, advisor Robert Steinberg has lived to tell the tale, and the experience has changed his life.
