Tag Archives: Woodbridge Mortgage Investment Funds

FINRA Bars Western International Stockbroker In Promissory Note Scheme

July 11, 2020  |   Posted by :   |   Promissory Notes   |   Comments Off on FINRA Bars Western International Stockbroker In Promissory Note Scheme

Elizabeth Ann Morrell of Westlake Village California a stockbroker formerly employed by Western International Securities has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based on findings that she declined to cooperate with a FINRA investigation regarding allegations of her sales of promissory notes relating to Woodbridge Group […]

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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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NYLife Securities Broker Fired For Selling Away

Joel Vincent Flaningan of Fort Wayne Indiana a stockbroker formerly registered with NYLife Securities LLC has been discharged by the firm on May 10, 2018 based upon allegations that Flaningan took part in the solicitation of Woodbridge Mortgage Investment Fund (an unregistered entity that went bankrupt) without notifying and procuring approval from NYLife Securities LLC. […]

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SA Stone Wealth Barred For Selling Woodbridge Mortgage Investment Funds

June 21, 2018  |   Posted by :   |   Alternative Investments, Investment and Regulatory News   |   0 Comments

Christopher Todd Wendel of Celina Ohio a stockbroker formerly registered with SA Stone Wealth Management Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he sold away from his employer and falsified testimony in a FINRA investigation into accusations of his […]

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Royal Alliance Associates Stockbroker Caught Selling Away

Frank John Capuano, of Holyoke, Massachusetts, a stockbroker with Royal Alliance Associates, Inc., was fined $10,000.00 and suspended for a year from associating with any Financial Industry Regulatory Authority (FINRA) member firm in any capacity after consenting to findings that he engaged in unauthorized private securities transactions. Letter of Acceptance, Waiver and Consent, No. 2015046273001 […]

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