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Articles Posted in Broker Dealer Law

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Disgorgement of Sales Commissions Against Brokers in Connection with Woodbridge Securities

The Securities Exchange Commission on Tuesday filed charges against companies and “individuals” for selling Woodbridge Securities. As discussed in our previous post, in December 2017, Woodbridge filed for bankruptcy and, immediately thereafter, received an SEC complaint listing the company as a massive Ponzi scheme. Woodbridge sold securities billed as “First…

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