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CFP Board Suspends Broker Accused of Violating Reg BI with Improper...

The Certified Financial Planner Board of Standards Inc. has imposed an interim suspension against Patrick Egan, a certified financial planner and broker at Western...

SEC Alleges Western and Five Brokers Violated Reg BI with Improper...

The Securities and Exchange Commission has charged registered broker-dealer Western International Securities and five of its registered representatives – Nancy Cole, Patrick Egan, Andy...

GWG Files for Chapter 11 Bankruptcy

GWG Holdings Inc. (Nasdaq: GWGH), a financial services firm and sponsor of non-traded direct investment offerings, has filed voluntary Chapter 11 petitions in the...

GWG Receives Waiver of Default under Credit Facility and Non-Compliance Nasdaq...

GWG Holdings Inc. (Nasdaq: GWGH), a financial services firm and sponsor of non-traded direct investment offerings, has received a letter from the Nasdaq’s listing...

GWG Reportedly Preparing for Chapter 11 Bankruptcy Protection

GWG Holdings Inc. (Nasdaq: GWGH), a financial services firm and sponsor of non-traded direct investment offerings, is reportedly preparing to file for Chapter 11...

Hospitality Investors Trust Begins Bankruptcy Proceedings

Hospitality Investors Trust Inc., a publicly registered non-traded REIT formerly known as American Realty Capital Hospitality Trust, has filed for Chapter 11 bankruptcy in...

FINRA Bars Another Broker for Selling Woodbridge Ponzi Promissory Notes

The Financial Industry Regulatory Authority has barred Jeffrey Scott Nimmow for selling nearly $3.4 million in Woodbridge promissory notes to investors.In January 2019, a...

SEC Charges Unregistered Broker Who Sold Woodbridge Securities to Retail Investors

The Securities and Exchange Commission has charged Brett Pittsenbargar, a Texas-based external sales agent for Woodbridge Group of Companies LLC, and his wholly-owned alter...

FINRA Suspends Former Cetera Broker for Selling Woodbridge Notes in Unapproved...

The Financial Industry Regulatory Authority has fined and suspended a former Cetera Advisors broker for engaging in private securities transactions involving Woodbridge Group of...

SEC Charges Unregistered Broker Who Sold Woodbridge and 1 Global Fraudulent...

The Securities and Exchange Commission has charged Henry J. "Trae" Wieniewitz, III and his Knoxville, Tennessee-based company, Wieniewitz Financial LLC, for unlawfully offering and...

SEC Charges Another Top Earning Broker Who Sold Woodbridge Securities to...

The Securities and Exchange Commission has charged Charles Nilosek, a Massachusetts-based external sales agent for Woodbridge Group of Companies LLC, with illegally selling Woodbridge...

SEC Bars Four Unregistered Brokers that Sold Woodbridge Securities

The Securities and Exchange Commission has barred Claude Mosley, Andrew Costa, Randy Rondberg, and Marcus Bray, four unregistered brokers that sold securities of Woodbridge...

SEC Charges Former Directors of Woodbridge Ponzi Scheme with Fraud

The Securities and Exchange Commission has charged two former directors of investments at Woodbridge Group of Companies LLC for their roles in its $1.2...

FINRA Bars Former Quest Capital Broker for Selling Woodbridge Promissory Notes

The Financial Industry Regulatory Authority has barred former Quest Capital broker Frank Dietrich for selling his clients more than $10.8 million in promissory notes...