Image of exchange traders in pit

John Michael Tinnelly of Hawthorne New York a stockbroker formerly registered with Woodstock Financial Group is referenced in a customer initiated investment related arbitration claim where the customer sought $100,000.00 in damages supported by accusations that (1) over-the-counter equities trades executed in the customer’s account were not suitable for the customer given the customer’s investment goals or financial status (2) fiduciary duties owed to the customer had been breached (3) unauthorized trades were effected in the customer’s account (4) and the customer was defrauded in reference to the activities Tinnelly engaged in while associated with Woodstock Financial Group. Financial Industry Regulatory Authority (FINRA) Arbitration No. 18-00026 (Jan. 8, 2018).

FINRA Public Disclosure reveals that Tinnelly has been identified in ten additional customer initiated investment related disputes containing allegations of his misconduct during the time that he was associated with securities firms including Monroe Parker Securities Inc. and Woodstock Financial Group. For example, Tinnelly was subject of a customer initiated investment related arbitration claim in which the customer was awarded $97,563.00 in compensatory damages based on Tinnelly having been found liable on the customer’s claim of Tinnelly participating in a scheme to defraud the customer wherein Tinnelly supposedly concealed information about the risks of investments that were recommended to the customer while he was associated with Monroe Parker Securities Inc.

Then, a customer initiated investment related arbitration claim concerning Tinnelly’s activities was settled for $125,000.00 in damages founded on accusations that while Tinnelly was associated with Woodstock Financial Group: unsuitable trades were executed in the customer’s account; the customer’s account had been churned; fiduciary duties owed to the customer were violated; trades had been effected in the customer’s investment account that the customer did not authorize; omissions were made to the customer concerning the markups and markdowns assessed on over-the-counter equities; and the customer sustained losses because of Tinnelly’s fraudulent activities. FINRA Arbitration No. 13-02289 (Sept. 29, 2014).

Subsequently, a customer initiated investment related arbitration claim regarding Tinnelly’s conduct was resolved for $60,500.00 in damages based upon allegations that misrepresentations were made concerning investments selected for the customer’s account; the customer’s contract had been breached; the customer’s account was handled in a negligent manner; trades were executed without the customer’s consent; the customer’s investment portfolio had been churned; and over-the-counter equities effected in the customer’s account failed to be suitable for the customer. FINRA Arbitration No. 15-00736 (Aug. 30, 2016).

Thereafter, a customer initiated investment related arbitration claim involving Tinnelly’s activities was settled for $49,500.00 in damages supported by accusations of securities law violations; breach of contract; misrepresentation; fraud; unauthorized trading; unsuitability; excessive commissions; and churning of the customer’s over-the-counter equities portfolio while Tinnelly was employed by Woodstock Financial Group. FINRA Arbitration No. 15-00458 (July 10, 2017).

Tinnelly’s registration with Woodstock Financial Group Inc. has been terminated as of October 26, 2018. He has been associated with at five different broker dealers, including Monroe Parker Securities Inc., who have been expelled by securities regulators for violation of federal securities laws or are otherwise defunct. #COCKROACH

The information contained herein has been obtained from reliable sources however may not be accurate and is not guaranteed by us. Readers are encouraged to undertake their own independent investigation and evaluation of the relevant facts. All claims and allegations are subject to adjudication, decisions may be subject to appeal, and no inference is intended, nor should any inference be made from any information contained herein from any source.

Questions or comments regarding the source or accuracy of any information, including any subsequent developments, should be directed to:  [email protected]

This posting and the information on our website is for general information purposes only. This content should be not considered legal advice, and any responses, comments, e-mails, other communications do not form any attorney client relationship. Attorney Advertisement. See Important Disclaimer.

Guiliano Law Group, P.C.

Our practice is limited to the representation of investors. Over the last three decades, we have recovered more than a hundred million dollars for more than 1,000 injured investors from all over the United States and several foreign countries. We accept representation purely on a contingent fee basis, meaning there is no cost to you unless we make a recovery for you. There is never any charge for a confidential consultation or an evaluation of your claim. For more information, contact us at (877) SEC-ATTY.

For more information concerning common claims against stockbrokers and investment professionals, please visit us at

To learn more about FINRA Securities Arbitration, and the legal process, please visit us at

Stockbroker Fraud. Securities Arbitration and Investment Fraud Lawyers.  
National Practice. Contingent Fee. Confidential Free Consultation.

 (877) SEC-ATTY

1700 Market Street, Suite 1005
Philadelphia, PA 19103
Direct: (215) 413-8223
Toll Free: (877) 732-2889

1260 South Soto Street, Suite 7
Los Angeles, California 90023
Direct: (213) 255-3475
Toll Free: (877) 732-2889

2750 NE 185th Street, Suite 302
Aventura, Florida 33180-2877
Direct: (786) 490-2413
Toll Free: (877) 732-2889

See Important Disclaimer

Tags: ,

No comments yet.

Leave a Reply

Name (required)

Email (will not be published) (required)