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FINRA Broker Allegations

Allegations against: Shirley Ank Wong

Allegation type: Customer Dispute

Allegation status: Settled

The allegations read: Allegations of violations of federal securities laws, violations of california securities laws california unfair, unlawful, and fraudulent business practice, breach of contract, common law fraud, breach of fiduciary duty, and negligence and gross negligence in gwg l-bonds which subsequently sought reorganization through bankruptcy. Purchase occurred in 2019.

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