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UPDATE! Matthew Woodard of Farmington, CT BARRED

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10
Jul

UPDATE! Matthew Woodard of Farmington, CT BARRED

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UPDATE!  Matthew Woodard of Farmington, CT BARRED

Matthew Woodard, formerly with ProEquities, Barred by SEC

 

Have you lost money with financial advisor Matthew Woodard of Farmington, Connecticut?  We are investigating allegations made by the Securities and Exchange Commission (SEC) against Matthew C. Woodard.  The SEC barred Woodard from the securities industry regarding allegations that he sold unregistered securities in a business that he owned, and that he accepted loans from a customer.  Woodard was selling investments in Toppikgink, doing business as Titan Brokerage Services.

 

Matthew Woodard was previously the subject of an investigation by FINRA, the Financial Industry Regulatory Authority. FINRA previously barred Woodard from the securities industry after he failed to respond to a FINRA investigation.  FINRA was investigating Woodard regarding allegations that he converted or stole money from a deceased client of his former brokerage firm, First Allied Securities.

 

Matthew Woodard was affiliated with First Allied Securities, Inc. from February 2015 to October 2015.  He was also a financial advisor and registered representative of ProEquities from September 2013 to September 2014, and with LPL Financial from April 2012 to July 2013.  He worked at branch offices in Farmington and Vernon, Connecticut.  Woodward was a founding member and treasurer of Toppikgink and Titan Brokerage Services.

 

Brokerage firms like Edward Jones have a responsibility to adequately supervise all representatives who are registered through their firm.  Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies.  When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

 

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado and Seattle, Washington.  We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Connecticut. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including Edward Jones.

 

If you lost money with Matthew Woodard, Toppikgink, ProEquities, or LPL Financial, please CONTACT US at 720-599-3505 for a free evaluation of your case.

 

 

 

Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency. Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency. All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact. This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice. Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis. In contingent representation, clients may still be liable for costs.
10.0David P Neuman

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