Tag Archives: David Albert Ross

FINRA Suspends Woodbury Broker For Customer Loans

November 01, 2017  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

David Albert Ross, of Murfreesboro, Tennessee, a stockbroker formerly registered with Woodbury Financial Services, Inc., has been suspended for ten months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity by consenting to findings that he entered into unauthorized loan arrangements with customers of the firm, and engaged in outside business […]

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Woodbury Financial Services Stockbroker Terminated For Outside Business Activities

January 19, 2017  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

David Albert Ross, of Murfreesboro, Tennessee, a stockbroker registered with Woodbury Financial Services, was terminated from employment on April 15, 2016, based upon allegations that Ross, inter alia, effected unauthorized loan arrangements with the firm’s customers and engaged in an outside business activity that was not authorized by Woodbury Financial Services. FINRA Public Disclosure reveals […]

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