Company lookup

RidgeWood Securities

⚠️ On 2 U.S. regulator warning lists

U.S. financial regulators have flagged this entity for soliciting investors without required registration or under false claims. Do not send money, and treat any communication from it as high risk.

SEC PAUSE List

Listed Jul 25, 2019
Impersonators of Genuine Firms

The U.S. Securities and Exchange Commission's PAUSE program lists entities that falsely claim to be U.S.-registered when soliciting investors, impersonate genuine registered firms, or pose as fictitious regulators.

Details reported by the regulator
825 Third Avenue 29th Floor RidgeWood Tower New York, NY 10022 Phone: 347-321-4356 Fax: 347-594-4567 Website: http://rwsecurities.com/ and 14-A1 Phillips Parkway Montvale, NJ 07645-1811 Phone: 800-1458-6105
View the official listing at sec.gov

CFTC RED List

Listed Aug 21, 2015

The U.S. Commodity Futures Trading Commission's Registration Deficient List names foreign entities that appear to solicit U.S. residents for trading (forex, binary options, crypto derivatives) without the required CFTC registration.

View the official listing at cftc.gov

Been contacted by RidgeWood Securities?

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Company warning data is sourced from the CFTC's RED (Registration Deficient) List and the SEC's PAUSE (Public Alert: Unregistered Soliciting Entities) program — official U.S. government lists published to warn the public. Per both regulators, inclusion on these lists does not mean a court or the regulator has concluded that a violation of law has occurred. Entities with similar names may be unrelated; verify registration at NFA BASIC and FINRA BrokerCheck. Data is updated daily.

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