词条 | World Group Securities |
释义 |
World Group Securities, Inc. (WGS), a member of the Dutch-owned AEGON Group, is the exclusive broker-dealer affiliate of World Financial Group (WFG). HistoryWorld Group Securities was incorporated in Delaware, USA on February 6, 2001, in order to replace World Marketing Alliance Securities (WMAS) as servicing broker-dealer when AEGON bought out the book of business generated by World Marketing Alliance (WMA) and reassigned it to the newly created World Financial Group.{{Fact|date=June 2014}} Business and operationsWGS is registered with the Financial Industry Regulatory Authority (FINRA) to sell securities through World Financial Group (WFG) associates in all 50 states plus Washington, D.C. and Puerto Rico under the Central Registration Depository (CRD) number 114473.[1] Its U.S. Securities and Exchange Commission (SEC) number is 8-53428.[1] WGS allows only properly licensed and registered WFG representatives to represent it. Its registered types of business include:
LawsuitsSome state securities officials, including those in Iowa, Alabama, Missouri, Utah, and Minnesota, have filed lawsuits to bar inappropriate sales practices by World Financial Group (WFG) and World Group Securities (WGS).[2][3] In addition, a number of customers have filed private arbitration claims.[4]
References1. ^1 FINRA - FINRA BrokerCheck 2. ^Missouri Securities :: Mark Andrew McEwen, CRD# 4613500 : Case AP-09-28 3. ^1 http://www.securities.utah.gov/dockets/06007801.pdf 4. ^1 2 State Regulators Investigate World Financial for Deceptive Sales Practices :: Stock Broker Fraud Blog 5. ^http://www.finra.org/web/groups/industry/@ip/@enf/@da/documents/disciplinaryactions/p012791.pdf 6. ^1 2 3 [https://www.bloomberg.com/apps/news?pid=newsarchive&sid=a8N_74GdteOg Aegon in Missouri Provokes Regulators Finding Sales Deceptions - Bloomberg] 7. ^Dutch insurer's U.S. unit draws scrutiny from regulators - The New York Times {{webarchive |url=https://web.archive.org/web/20080531211002/http://www.iht.com/articles/2008/05/28/business/regs.php |date=May 31, 2008 }} 8. ^SOS, Missouri - Securities: News Releases 9. ^Missouri Securities :: World Group Securities, Inc. : Case AP-06-48 10. ^http://www.securities.state.ut.us/press/worldgroup.pdf {{webarchive |url=https://web.archive.org/web/20110727135712/http://www.securities.state.ut.us/press/worldgroup.pdf |date=July 27, 2011 }} 11. ^[https://web.archive.org/web/20101113215854/http://securities.utah.gov/dockets/06008002.pdf Division of Securities] 12. ^http://www.securities.utah.gov/dockets/06007802.pdf 13. ^http://images.edocket.azcc.gov/docketpdf/0000110449.pdf 14. ^https://www.sec.gov/litigation/admin/2009/33-9035.pdf 15. ^Another Promissory Note Ponzi? | Investor's Watchblog 16. ^[https://www.sec.gov/litigation/litreleases/2010/lr21529.htm Edward A. Allen, David L. Olson, and A and O Investments, LLC] 17. ^Securities Fraud Blog 18. ^World Group Investigation {{webarchive |url=https://web.archive.org/web/20110710141257/http://www.dmlaws.com/StockbrokerMisconduct/World_Group_Investigation.aspx |date=July 10, 2011 }} 19. ^[https://www.sec.gov/litigation/litreleases/2008/lr20768.htm Kederio Ainsworth, Guillermo Haro, Jesus Gutierrez, Gabriel Paredes, and Angel Romo: Lit. Rel. No. 20768 / October 3, 2008] 20. ^[https://www.sec.gov/litigation/complaints/2008/comp20768.pdf Complaint] 21. ^[https://www.sec.gov/news/digest/2010/dig112210.htm SEC News Digest (Issue 2010-220; November 22, 2010)] 22. ^https://www.sec.gov/litigation/admin/2010/34-63354.pdf 1 : Brokerage firms |
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