Erez Law is currently investigating former Westpark Capital, Inc. broker Alan Mason (CRD# 1302190) regarding GWG Holdings Inc. L Bonds investment losses. He has been registered with Bradley Woods & Co. Ltd. in New York, New York, since March 2023. Previously, he was registered with:
- Westpark Capital, Inc. in New York, New York, from 2018 to 2013
- Wilmington Capital Securities, LLC in New York, New York, from 2015 to 2016
- Forefront Capital Markets LLC in New York, New York, from 2012 to 2015
Alan Mason Customer Complaints
He has been the subject of five customer complaints between 2000 and 2022, according to his CRD report. The most recent complaints are regarding:
August 2022. “Breach of Fiduciary Duty; Unsuitability; The client purchased an investment and the company filed for Chapter 11 bankruptcy.” The customer is seeking $5 million in damages, and the case is currently pending. The complaint was regarding GWG Holdings Inc. L Bonds, and it took place while he was registered with Westpark Capital, Inc.
June 2022. “Improper Recommendation; Failure to perform Due Diligence; Unsuitability.” THe customer sought $100,000 in damages, and the case was settled for $33,200. The complaint was regarding GWG Holdings Inc. L Bonds, and it took place while he was registered with Westpark Capital, Inc.
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, Westpark Capital, Inc may be liable for investment or other losses suffered by Alan Mason’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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