SEC v. Matthew C. Woodard (2018)

Judgment entered

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In 2018 the SEC settled an administrative proceeding against Matthew C. Woodard, a former registered representative, imposing remedial sanctions based on a 2018 Connecticut order that permanently barred him.

The record

What was ordered

Civil penalty

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Disgorgement

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Prejudgment interest

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Total relief

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Alleged gain

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A dash means the release did not state a figure we could extract, not that the figure is zero. Penalty and disgorgement are stored separately so aggregates across the library do not double-count the same dollars.

What is alleged to have happened

On July 10, 2018 the SEC accepted a settlement with Matthew C. Woodard, a former registered representative at ProEquities, Inc. The order is a follow-on to a March 2018 Connecticut Department of Banking consent order barring him from the securities business there. That order alleged that in 2014 and 2015 he sold unregistered securities in a business he owned and took investor loans of $325,000, part of which he used personally.

The SEC does not itself find a Section 5 violation. The unregistered sales are an allegation in the state order recited as the basis for the bar, so the record carries no technique tag.

This library does not assign a technique tag to the matter, because no technique page in the current taxonomy describes the conduct the document records.

For the regulator's own account of the facts, read the primary document linked above. This page deliberately summarises the structured record rather than reproducing the release.

Timeline

1. 2018-07-10 Administrative proceeding instituted (findings)

Primary documents

Everything on this page derives from the documents below. Where our summary and the primary document disagree, the primary document is right.

• SEC order

The linked release is a work of the United States government and is not subject to copyright. Our summary and narrative above are our own writing.

Record added September 10, 2026. submit a correction.