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SEC Reg BI case charges Atria subsidiary over alt sales

The action against Atria Wealth Solutions’ Western International Securities offers a substantive hint on the future potential matters under the rule. ....

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GWG HOLDINGS, INC. - 10-K - MANAGEMENT'S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATIONS.

Unless the context otherwise indicates, all references in this Management's Discussion and Analysis of Financial Condition and Results of Operations, or MD&A, to the "Company," "we," "us," "our" or "ours" or similar words are to GWG Holdings Inc. and its direct and indirect wholly-owned and consolidated subsidiaries, references to " GWG Holdings" refer to GWG Holdings Inc.,. ....

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