Pinnocchio with his large nose

Donald Stephen Woods of Louisville Kentucky a stockbroker formerly employed by LPL Financial LLC is referenced in a customer initiated investment related written complaint which settled on March 1, 2017 for $10,722.00 supported by accusations that misrepresentations had been made to the customer regarding structured products investments.

Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Woods has been identified in two more customer initiated investment related disputes pertaining to allegations of his misconduct during the time that he was registered with LPL Financial. In particular, on November 4, 2016, a customer filed an investment related complaint concerning Woods’ activities where the customer requested damages estimated to exceed $5,000.00 founded on accusations that the customer’s account was mismanaged, and alternative investment transactions were executed in the customer’s account that were not suitable for the customer.

Then, on March 15, 2018, a customer filed an investment related complaint regarding Woods’ activities where the customer requested damages estimated to exceed $5,000.00 based upon allegations that the customer’s account documentation had been altered, transactions were not effected in a timely fashion, and the alternative investment, mutual fund and variable annuity holdings were not appropriate for the customer and had been misrepresented.

Woods’ registration with LPL Financial LLC was terminated on January 20, 2017. Since December 22, 2016, Woods has been employed by Thurston Springer Financial.

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.

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

Our practice is limited to the representation of investors. We accept representation 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 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 securitiesarbitrations.com

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