Tag: promissory notes
SEC Charges Former Georgia State Legislator with Defrauding Investors in Alleged...
The Securities and Exchange Commission has charged Clarence Dean Alford, a former Georgia state legislator and former member of the Georgia Board of Regents,...
Former Woodbridge Broker Indicted for Alleged $9 Million Fraud on Elderly
The Texas State Securities Board announced that Brett Pittsenbargar, an Austin-based insurance agent who allegedly sold $9.3 million in fraudulent investments, is facing first-degree...
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...
Massachusetts Regulators Halt Million Dollar Real Estate Investment Scheme
The Massachusetts Securities Division has charged an Illinois man for selling unregistered securities to Massachusetts investors totaling nearly $1 million for various real estate...
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...
