Tag Archives: Donald Stephen Woods

FINRA Sanctions LPL Stockbroker Unsuitable REIT Sales

May 13, 2020  |   Posted by :   |   Non-traded REITs, Securities Arbitration Claims, Unsuitable Investment Recommendations   |   Comments Off on FINRA Sanctions LPL Stockbroker Unsuitable REIT Sales

Donald Stephen Woods (also known as Don Stephan Woods) of Louisville Kentucky a stockbroker formerly registered with LPL Financial has been fined $10,000.00 and suspended for six months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Woods provided unsuitable investment recommendations to customers and had submitted […]

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Investors Accuse LPL Financial Of Misrepresentation

Donald Stephen Woods of Louisville Kentucky a stockbroker formerly registered with LPL Financial LLC is referenced in a customer initiated investment related complaint on June 3, 2019 where the customer sought damages estimated to exceed $5,000.00 supported by accusations that (1) bad recommendations of alternative investments including business development companies had been made to the […]

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LPL Accused Of Structured Product Misrepresentation

May 29, 2018  |   Posted by :   |   Investment and Regulatory News, Structured Products   |   0 Comments

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 […]

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