Former NPB Financial Group, LLC broker James Easter (CRD# 74758) faces a customer complaint related to GWG Holdings Inc. investment losses. He has been registered with Independent Financial Group, LLC in Sandy, Utah, from July to December 2022. Previously, he was registered with NPB Financial Group, LLC in Sandy, Utah, from 2007 to 2022.
James Easter Customer Complaints
He has been the subject of one customer complaint, according to his CRD report:
September 2022. “Illiquid investment due to a recommendation of a high risk, high commission alternate Investment.” The customer is seeking $100,001 in damages, and the case is currently pending. The complaint is related to GWG Holdings Inc. investment losses, and it took place while he was registered with NPB Financial Group, LLC.
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, NPB Financial Group, LLC may be liable for investment or other losses suffered by James Easter’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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