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FINRA Broker Allegations

Allegations against: Tammie Lyn Farrell

Allegation type: Customer Dispute

Allegation status: Settled

The allegations read: Clients purchased $25,000 of gwg holdings, inc. In december, 2020. Gwg holdings subsequently filed chapter 11 bankruptcy on april 20, 2022. Complaint alleges common law fraud, breach of fiduciary duty, negligence, and breach of contract.

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