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Here, our securities fraud attorneys list the 6 most recent disclosures involving WFG Investments, Inc. If you are an investor who wants full details regarding any of these regulatory disclosures, or any other disclosure, please refer to the WFG Investments BrokerCheck Report. The findings stated that senior personnel at the firm were aware of red flags that the registered representative was engaged in unsuitable trading with respect to low-priced securities.

The findings stated that specifically, the firm failed to apply sales charge discounts to eligible UIT purchases resulting in customers paying excessive sales charges. The findings stated that the firm failed to disclose all material facts concerning municipal securities transactions at or prior to the time of trade.

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Open A Merrill Edge® Self-Directed Online Investing Account Today. View Mark Palmer's profile on LinkedIn, the world's largest professional community. Mark has 2 jobs My investment philosophy is essentially conservative in nature. Operating WFG - World Financial Group Wayne Fraser,, BA. Get reviews, hours, directions, coupons and more for World Financial Group. Search for other Investment Advisory Service on The Real Yellow Pages®. Palmer, Wayne, MD Windsor Mill Maryland Medical & Health Care in New Jersey​.