EE DEE BROOKS (also known as: DEEDEE BROOKS, DORIS DEE DEE BROOKS, DORIS TAKOOSHIAN) CRD#: 2559233 was barred by the Financial Industry Regulatory Authority, Inc. (FINRA) from acting as a broker or otherwise associating with a broker-dealer firm. Brooks, according to FINRA, formerly with Signator Investors, Inc. of Huntington Beach, California, allegedly engaged in undisclosed and unapproved private securities transactions totaling more than $1.77 million that included investments related to the Woodbridge Group of Companies Ponzi scheme, according to FINRA.
On June 9, 2020, without admitting or denying FINRA’s findings, DEE DEE BROOKS consented to the sanction and to the entry of findings that she allegedly engaged in private securities transactions without providing prior notice to or obtaining approval from her member.
FINRA’s findings stated that DEE DEE BROOKS allegedly solicited investors to purchase more than $1.77 million in securities in a purported real estate investment fund and in a company representing itself as a structured cash flow investment company. Brooks, through an entity that she worked with as an outside business, solicited investors, over half of whom where clients of her firm, to invest $906,497 in the fund’s promissory notes. Later, the fund filed a voluntary Chapter 11 bankruptcy petition.
The Securities and Exchange Commission (SEC) stated that Woodbridge operated as a massive Ponzi scheme from July of 2012 through December of 2017. In October of 2019, the former CEO of Woodbridge, Robert Shapiro, was sentenced to 25 years in prison by a federal judge in Miami for the $1.22 billion Ponzi scheme that involved more than 8,400 unsuspecting investors.
According to FINRA’s BrokerCheck, DEE DEE BROOKS was registered in the securities industry for 21 years and had been listed with 8 firms. The most recent listed below:
07/31/2015 – 06/07/2018 SIGNATOR INVESTORS, INC. – HUNTINGTON BEACH, CA
04/01/2009 – 07/31/2015 SCF SECURITIES, INC. – HUNTINGTON BEACH, CA
If you or a loved one suffered losses due to the recommendations of DEE DEE BROOKS, formerly of Signator Investors of Huntington Beach, California, particularly in the Woodbridge Ponzi scheme, contact Soreide Law Group and speak to an experienced securities lawyer at no cost to you regarding the possible recovery of your investment losses through a FINRA arbitration at: 888-760-6552.
Soreide Law Group works on a contingency fee basis and represents clients nationwide before FINRA.