Tag Archives: Woodbridge Mortgage Investment Fund

Signal Securities Sued By Investors For Selling Woodbridge Notes

Donna Lynn Barnard (also known as Donna Lynn Stargell and as Donna Lynn Brooks) of Kilgore Texas a stockbroker registered with HD Vest Investment Services and Signal Securities Inc. is the subject of a customer initiated investment related arbitration claim which was settled for $50,000.00 in damages based upon allegations that Woodbridge Mortgage Fund promissory […]

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NYLife Sued For Selling Away Alternative Investments

Joel Vincent Flaningan of Fort Wayne Indiana a stockbroker formerly employed by NYLife Securities LLC is the subject of a customer initiated investment related civil action brought in the Superior Court of Indiana in which the customer requested $29,000.00 in damages based upon accusations that (1) unfounded statements had been made by the stockbroker concerning […]

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SA Stone Stockbroker Sanctioned For Unauthorized Transactions

November 24, 2019  |   Posted by :   |   Investment and Regulatory News, Promissory Notes   |   0 Comments

Christopher Todd Wendel of Celina Ohio a stockbroker formerly registered with SA Stone Wealth Management Inc. is referenced in a Cease and Desist Order issued by Ohio Division of Securities founded on allegations of Wendel having sold unregistered securities to residents in Ohio during a time that he was not licensed as a stockbroker. Case […]

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FINRA Sanctions Sigma Stockbroker For Selling Away

Fredrick Martin Randhahn (also known as Frederick Randhahn and as Fred Randhahn) of Ogden Utah a stockbroker formerly employed by Sigma Financial Corporation has been fined $5,000.00 and suspended for nine months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Randhahn engaged in undisclosed and unapproved […]

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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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IFG Stockbroker Admits To Selling Away

Jeffrey Paul Schwebach of Dell Rapids South Dakota a stockbroker formerly registered with Independent Financial Group LLC has been suspended for eight months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings of Schwebach selling Woodbridge promissory notes away from Independent Financial Group LLC. Letter of […]

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Foresters Equity Broker Barred In Investigation

Michael John Rappa of San Diego California a broker formerly employed by Foresters Equity Services Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Rappa failed to cooperate with FINRA personnel who had been investigating Rappa’s possible unauthorized private securities transactions. […]

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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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Mutual Services Broker Caught Selling Woodbridge Notes

Gary Lyle Pevey of Sacramento California a stockbroker formerly registered with Mutual Services Inc. has been fined $10,000.00 and suspended for twelve months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he sold away from his firm. Letter of Acceptance Waiver and Consent No. […]

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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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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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Foresters Broker Investigated For Woodbridge Investments

John Dale Ernst of San Diego California a former Foresters Equity Services Inc. registered representative is referenced in a State of Wisconsin investigation on November 30, 2017 concerning Ernst’s activities relating to Woodbridge Group of Companies, LLC. Financial Industry Regulatory Authority (FINRA) Public Disclosure confirms that Ernst was discharged by Foresters Equity Services, Inc. on […]

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Securities Service Network Broker Fined For Selling Away

Peter David Holler of Bristol Tennessee a stockbroker formerly employed by Securities Service Network has been fined $10,000.00 and suspended for two years from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he sold away from the firm. Letter of Acceptance Waiver and Consent No. […]

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NYLife Securities Sued For Woodbridge Mortgage Investment Fund

Alan Harold New of Fort Wayne Indiana a former NYLife Securities LLC registered representative is referenced in a customer initiated investment related civil action where the customer sought $400,000.00 in damages founded on allegations that omissions were made to the customer concerning the terms and risks pertaining to the Woodbridge Mortgage Investment Fund purchased by […]

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Forest Securities Discharges Stockbroker For Misconduct

Jeffrey Scot Nimmow of Chicago Illinois a stockbroker employed by Forest Securities Inc. has been discharged by the firm on March 6, 2018 based upon allegations that Nimmow (1) sold securities without being registered (2) failed to make required disclosures to the firm (3) failed to procure necessary customer account information prior to establishing an […]

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HD Vest Sued By Customer For Fraud

May 01, 2018  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Jerry Davis Raines of Kilgore Texas a stockbroker formerly registered with HD Vest Investment Services is the subject of a customer initiated investment related civil action where the customer sought $500,000.00 in damages supported by allegations that transactions were placed in the customer’s account that were not suitable for the customer and misrepresentations had been […]

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Customer Sues HD Vest For Misrepresentation

April 27, 2018  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Donna Lynn Barnard of Kilgore Texas a stockbroker formerly registered with HD Vest Investment Services has been referenced in a customer initiated investment related arbitration claim where the customer requested $234,780.90 in damages founded on accusations that Barnard made misrepresentations to the customer concerning Woodbridge Mortgage Investment Fund and neglected to undertake adequate due diligence […]

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American Portfolios Broker Caught Selling Woodbridge Ordered To Cease

April 08, 2018  |   Posted by :   |   Investment and Regulatory News, Unregistered Securities   |   0 Comments

Gary Arthur Forrest of Flint Michigan is a stockbroker formerly registered with American Portfolios Financial Services Inc. who is the subject of a Notice and Order to Cease and Desist issued by the State of Michigan Department of Licensing and Regulatory Affairs Corporations Licensing and Securities Bureau supported by accusations that Forrest offered or effected […]

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