Woodbridge Mortgage Investment Fund 3A LLC Archives

Woodbridge Mortgage Investment Fund 3A LLC

Frank J. Capuano, Ex-Royal Alliance Broker, Named in Claim Seeking Damages for Ponzi Investment

Adam J. Marquardt May 25, 2018

Marquardt Law Office LLC is interested in speaking to former customers of Frank J. Capuano who purchased promissory notes in a Woodbridge Mortgage Investment Fund. In March 2018, a customer filed a claim against Capuano, a former Royal Alliance Associates broker. The claim seeks losses Capuano allegedly caused by selling a customer an investment that

Peter Holler, Ex-Securities Service Broker, Suspended for Two Years for Selling Securities of Woodbridge Fund Ponzi Scheme

Adam J. Marquardt May 24, 2018

On May 21, 2018, the Financial Industry Regulatory Authority, Inc. (FINRA) suspended Peter Holler from associating with firms registered with FINRA for two years and fined him $10,000. FINRA—the self-regulator of brokers and brokerage firms—announced the sanction in a Letter of Acceptance, Waiver, and Consent (AWC). FINRA alleged that, between September 2016 and August 2017,

Investment Misconduct Blog