Scott Wolfrum, Formerly of David A. Noyes Company, Ordered to Cease and Desist by SEC

Wolfrum owned and operated Wolfrum Capital Management.

scott-wolfrum-ordered-cease-and-desistScott Wolfrum (CRD: 2187550) was previously registered with Huntleigh Securities from 2018 until 2019.

In March 2021, the SEC filed a complaint against Wolfrum alleging that he failed to disclose conflicts of interest when selling investments in the Foundry Mezzanine Opportunity Fund.

Wolfrum allegedly sold over $20 million worth of investments in the fund without disclosing that he had a personal financial stake in the Fund’s investments. To settle the allegations, Wolfrum agreed to pay a $75,000 fine, $140,125 in disgorgement fees, and $21,354 in interest. 

The misconduct allegedly occurred while Wolfrum was registered with David A. Noyes & Co., from May 2013 until January 2018.

Wolfram has three customer disputes on his BrokerCheck report, but one was denied.


March 2019 Customer Dispute


February 2013 Customer Dispute


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