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The Financial Industry Regulatory Authority has barred former stockbroker Michael Rappa of Roseville, California from the securities brokerage industry after finding that Rappa solicited investors to purchase promissory notes issued as part of a Ponzi scheme perpetrated by the Woodbridge Group of Companies LLC (“Woodbridge”), which have since filed for Chapter 11…
The Financial Industry Regulatory Authority has barred former stockbroker Floyd Powell of Albertville, Alabama from the securities brokerage industry after finding that Powell solicited investors to purchase promissory notes issued as part of a Ponzi scheme perpetrated by the Woodbridge Group of Companies LLC (“Woodbridge”), which has since filed for Chapter 11…
Stockbroker Benjamin Frank Bourgeois Jr. of Metairie, Louisiana is involved in a legal dispute with a customer who alleges that Bourgeois converted funds that the customer had entrusted to Bourgeois for investment purposes. The specific claims that have been alleged against Bourgeois include “employing devices, schemes or artifices to defraud; making untrue…