US Edition2020068655902 American Trust Investment Services, Inc. CRD 3001 AWC gg.pdf
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2020068655902 American Trust Investment Services, Inc. CRD 3001 AWC gg.pdf
American Trust has failed to reasonably supervise several areas since at least June 2020. From July 2020 to April 2021, the firm violated FINRA Rules 3110 and 2010 by failing to reasonably supervise sales of GWG L Bonds for compliance with Regulation Best Interest (Reg BI) and FINRA Rule 2111. In addition, since June 30, 2020, the firm also has failed to establish policies and procedures, and a supervisory system, reasonably designed to achieve …
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