Securities Arbitration Investment Fraud Lawyers » Investment and Regulatory News » Investors Accuse Woodbury Financial Stockbroker Of Misrepresentation

stockbroker misconduct

Dennis Fred Baker of Verona, Wisconsin, a stockbroker registered with Woodbury Financial Services Inc., was the subject of a customer initiated investment related complaint filed on August 18, 2021, in which the customer requested $5,000.00 in damages based upon allegations that Baker made misrepresentations of material fact in connection with the recommendation and sale of real estate securities when Baker was associated with Woodbury Financial Services Inc.

This is not the first time that Baker has been referenced in a customer initiated investment related dispute concerning Baker’s conduct in the securities industry. Financial Industry Regulatory Authority (FINRA) Public Disclosure shows that Baker was also referenced in a complaint filed on October 20, 2016, in which the customer requested $6,607.88 in damages based upon allegations that Baker made unsuitable recommendations of variable annuities when Baker was associated with Woodbury Financial Services Inc.

Baker has been associated with Woodbury Financial Services Inc. in Verona, WI, as a stockbroker since December 16, 2005, and has been associated with Woodbury Financial Services Inc. as an investment advisor representative since December 16, 2005.