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FINRA Broker Allegations

Allegations against: Bowman James Nicholson

Allegation type: Customer Dispute

Allegation status: Pending

The allegations read: Gwg holdings, inc. Filed chapter 11 bankruptcy on april 20, 2022. Complaint alleges breach of contract and warranties, violation of state securities statutes, breach of fiduciary duty, claims under common law, and vicarious liability related to an investment in gwg l-bonds.

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