US Edition2022074296701 Donald J. Everhart CRD 2150508 AWC gg.pdf
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2022074296701 Donald J. Everhart CRD 2150508 AWC gg.pdf
In October 2020, Everhart recommended that a retail customer invest in GWG L Bonds, which were speculative, unrated corporate bonds. Everhart's recommendation resulted in at least 40% of the customer's net worth, not including primary residence, being invested in GWG L Bonds. This recommendation was not in the customer's best interest based on her investment profile, and Everhart therefore willfully violated Rule 15/-l(a)(l) under the Securities…
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