Tag Archives: Woodbridge Group of Companies LLC

Sigma Financial Corp Sued By Investors For Fraud

July 11, 2020  |   Posted by :   |   Promissory Notes, Securities Fraud, Selling Away and Outside Activities   |   Comments Off on Sigma Financial Corp Sued By Investors For Fraud

Fredrick Martin Randhahn (also known as Frederick Martin Randhahn) of Ogden Utah a stockbroker formerly registered with Sigma Financial Corporation is the subject of a customer initiated investment related arbitration claim where the customer sought $100,000.00 in damages based upon accusations that the customer was placed into risky and fraudulent Woodbridge Mortgage Investment products during […]

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HD Vest Sued For Fraudulent Woodbridge Notes

Jerry Davis Raines of Kilgore Texas a stockbroker formerly registered with HD Vest Investment Services is referenced in a customer initiated investment related arbitration claim where the customer requested $2,250,000.00 in damages based upon accusations of Raines misrepresenting risks which pertained to Woodbridge Group of Companies investments sold to the customer during the time that […]

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Whitehall Parker Stockbroker Sanctioned For Selling Away

James Marten Lamont of San Francisco California a stockbroker currently employed by Whitehall-Parker Securities Inc. has been fined $10,000.00 and suspended for eighteen months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Lamont sold promissory notes investments in Woodbridge Group of Companies LLC outside the auspices […]

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Foresters Equity Stockbroker Caught Selling Away

John Dale Ernst of San Diego California a stockbroker formerly employed by Foresters Equity Services Inc. has been fined $5,000.00 and suspended for nine months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Ernst engaged in private securities transactions involving the sale of Woodbridge promissory notes. […]

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FINRA Bars Farmers Broker For Selling Woodbridge Ponzi Scheme

Kirk James Bertsch of Spearfish South Dakota a broker formerly registered with Farmers Financial Solutions LLC has been disgorged of illicit commissions and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Bertsch sold away from his firm by engaging in a promissory note […]

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FINRA Suspends Hornor Townsend Broker Caught Selling Away

Thomas Edward Sova of Baton Rouge Louisiana a stockbroker formerly registered with Hornor Townsend Kent Inc. has been fined $5,000.00 and suspended for five months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Sova sold away from the firm by selling Woodbridge Group of […]

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FINRA Catches MML Broker Selling Away Woodbridge Notes

Floyd Earl Powell of Albertville Alabama a stockbroker formerly employed by MML Investors Services LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Powell engaged in private securities transactions while associated with the firm. Letter of Acceptance Waiver and Consent No. […]

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DesPain Broker Barred In Woodbridge Promissory Note Investigation

Jay R. Weiser of Collinsville Illinois a stockbroker formerly employed by DesPain Financial Corporation has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Weiser failed to cooperate with FINRA’s investigation into accusations of hm selling promissory notes and securities interests away from […]

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Woodbridge Victims File Claims Against Quest Capital

Frank Roland Dietrich, of Lake Forrest, California, formerly associated with Quest Capital Strategies, Inc. was barred by the Financial Industry Regulatory Authority in connection with the sale of Woodbridge Group related securities. Letter of Acceptance Waiver & Consent, No. 2018057197801 (November 26, 2018). Dietrich, betwen 2013 and 2017, was found to have solicited fifty eight […]

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Signator Broker Barred By FINRA For Obstructing Investigation

David Carl Ferwerda of Grand Rapids Michigan a stockbroker formerly registered with Signator Investors Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he failed to comply with FINRA in an investigation concerning his alleged unapproved private securities transactions. Letter of […]

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HD Vest Broker Barred For Obstructing Investigation

September 28, 2018  |   Posted by :   |   Investment and Regulatory News, Securities Arbitration Claims   |   0 Comments

Jerry Davis Raines of Kilgore Texas a stockbroker formerly employed by HD Vest Investment Services has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Raines failed to cooperate with FINRA in an investigation into allegations of his sales of notes pertaining to […]

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HD Vest Broker Barred For Obstructing Investigation

Donna Lynn Barnard of Kilgore Texas a stockbroker formerly registered with HD Vest Investment Services has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that she obstructed a FINRA investigation into accusations of her sales practice violations relating to her Woodbridge promissory notes […]

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