Tag: Woodbridge
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...
Former Woodbridge CEO Sentenced to 25 Years for $1.3 Billion Ponzi...
Former Woodbridge Group owner and chief executive officer Robert Shapiro was sentenced to 25 years in prison yesterday for his role in a $1.3...
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...
Former Woodbridge Group CEO Pleads Guilty to Running $1.3 Billion Ponzi...
Robert Shapiro, who formerly served as chief executive officer of Woodbridge Group of Companies, pleaded guilty to conspiracy and tax evasion in Miami.
Under Shapiro’s...
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...
SEC Charges 13 Unregistered Brokers for Selling Woodbridge Securities to Retail...
The Securities and Exchange Commission has charged an additional 13 individuals and 10 companies for unlawfully selling securities of Woodbridge Group of Companies LLC...
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...
SEC Charges Unregistered Brokers Who Sold Woodbridge Securities to Retail Investors
The Securities and Exchange Commission has charged five individuals and four companies for unlawfully selling securities of Woodbridge Group of Companies LLC to retail...
