GWG Holdings Inc. Losses with Former Ni Advisors Broker Clark Owen

GWG Holdings Inc.

Were you the victim of former Ni Advisors broker Clark Owen (CRD# 6096730)? He was registered with Cetera Investment Services LLC in Cupertino, California, since 2018, and with Cetera Investment Advisers LLC in Milpitas, California, since 2018. Previously, he was registered with Ni Advisors in Fremont, California, from 2017 to 2018 and with Voya Financial Advisors, Inc. in Cupertino, California, from 2014 to 2015, when he was terminated regarding “Failure to follow firm policy regarding submission of advertisements prior to use.”

Clark Owen Customer Complaints

He has been the subject of one customer complaint, according to his CRD report:

June 2022. “Claimant alleges damages for $114,000 invested in GWG bonds.” The customer is seeking $114,000 in damages and the case is currently pending. 

Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, FIRM may be liable for investment or other losses suffered by Clark Owen’s customers.

Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.

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