{"id":11577,"date":"2024-11-20T09:56:41","date_gmt":"2024-11-20T14:56:41","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=11577"},"modified":"2024-11-20T09:56:41","modified_gmt":"2024-11-20T14:56:41","slug":"finra-suspends-broker-alan-mason-after-gwg-holdings-l-bonds-sales","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-broker-alan-mason-after-gwg-holdings-l-bonds-sales\/","title":{"rendered":"FINRA Suspends Broker Alan Mason After GWG Holdings L-Bonds Sales"},"content":{"rendered":"<p><img loading=\"lazy\" decoding=\"async\" class=\"alignleft wp-image-9856 size-medium\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2021\/03\/FiverrLosses-300x200.jpg\" alt=\"Alan Mason (CRD# 1302190, a\/k\/a Alan M Mason, Alan Mark Mason, Alan Mason) is a registered broker and previously registered investment advisor currently registered with Bradley Woods &amp; Co. LTD. (CRD# 13660) of New York, NY.\u00a0 His most recent previous employers include Westpark Capital, Inc. (CRD# 39914), Wilmington Capital Securities, LLC (CRD# 133839), and Forefront Capital Markets, LLC (CRD# 151812), all of New York, NY. He has been in the industry since 1984.\n\nDuring Mason\u2019s employment with Westpark Capital in July of 2020, he recommended to one client that she invest 20% of her liquid net worth into the speculative and risky GWG Holdings L-Bonds. The investment was not in the customer\u2019s best interest based on her investment profile and goes against Regulation Best Interest.\" width=\"300\" height=\"200\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2021\/03\/FiverrLosses-300x200.jpg 300w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2021\/03\/FiverrLosses-1024x683.jpg 1024w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2021\/03\/FiverrLosses-768x512.jpg 768w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2021\/03\/FiverrLosses-1536x1024.jpg 1536w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2021\/03\/FiverrLosses-2048x1366.jpg 2048w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2021\/03\/FiverrLosses-1000x667.jpg 1000w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2021\/03\/FiverrLosses-180x120.jpg 180w\" sizes=\"auto, (max-width: 300px) 100vw, 300px\" \/>Alan Mason (CRD# <a href=\"https:\/\/brokercheck.finra.org\/individual\/summary\/1302190\" target=\"_blank\">1302190<\/a>, a\/k\/a Alan M Mason, Alan Mark Mason, Alan Mason) is a registered broker and previously registered investment advisor currently registered with Bradley Woods &amp; Co. LTD. (CRD# 13660) of New York, NY.\u00a0 His most recent previous employers include Westpark Capital, Inc. (CRD# 39914), Wilmington Capital Securities, LLC (CRD# 133839), and Forefront Capital Markets, LLC (CRD# 151812), all of New York, NY. He has been in the industry since 1984. <a href=\"https:\/\/www.silverlaw.com\/blog\/finra-suspends-broker-alan-mason-after-gwg-holdings-l-bonds-sales\/#more-11577\" class=\"more-link\">Continue reading \u203a<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>Alan Mason (CRD# 1302190, a\/k\/a Alan M Mason, Alan Mark Mason, Alan Mason) is a registered broker and previously registered investment advisor currently registered with Bradley Woods &amp; Co. LTD. (CRD# 13660) of New York, NY.\u00a0 His most recent previous employers include Westpark Capital, Inc. (CRD# 39914), Wilmington Capital Securities, LLC (CRD# 133839), and Forefront [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[577,580],"tags":[],"class_list":["post-11577","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions","category-stockbroker-misconduct"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v25.7 - https:\/\/yoast.com\/wordpress\/plugins\/seo\/ -->\n<title>FINRA Suspends Alan Mason After GWG Holdings L-Bonds Sales<\/title>\n<meta name=\"description\" content=\"Alan Mason is a broker and previously registered investment advisor currently registered with Bradley Woods &amp; Co. LTD. of New York, NY.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.silverlaw.com\/blog\/finra-suspends-broker-alan-mason-after-gwg-holdings-l-bonds-sales\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"FINRA Suspends Alan Mason After GWG Holdings L-Bonds Sales\" \/>\n<meta name=\"twitter:description\" content=\"Alan Mason is a broker and previously registered investment advisor currently registered with Bradley Woods &amp; Co. 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LTD. of New York, NY.","twitter_image":"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2021\/03\/FiverrLosses-300x200.jpg","twitter_misc":{"Written by":"Silver Law Group","Est. reading time":"3 minutes"},"schema":{"@context":"https:\/\/schema.org","@graph":[{"@type":"WebPage","@id":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-broker-alan-mason-after-gwg-holdings-l-bonds-sales\/","url":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-broker-alan-mason-after-gwg-holdings-l-bonds-sales\/","name":"FINRA Suspends Alan Mason After GWG Holdings L-Bonds Sales","isPartOf":{"@id":"https:\/\/www.silverlaw.com\/blog\/#website"},"primaryImageOfPage":{"@id":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-broker-alan-mason-after-gwg-holdings-l-bonds-sales\/#primaryimage"},"image":{"@id":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-broker-alan-mason-after-gwg-holdings-l-bonds-sales\/#primaryimage"},"thumbnailUrl":"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2021\/03\/FiverrLosses-300x200.jpg","datePublished":"2024-11-20T14:56:41+00:00","author":{"@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/de64d999508b1ad10d608a99f0d2e752"},"description":"Alan Mason is a broker and previously registered investment advisor currently registered with Bradley Woods & Co. 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