Michael John Wood of Lake Tapps Washington a stockbroker currently employed by Independent Financial Group LLC is the subject of sanctions issued by the State of Michigan according to a Stipulation and Order founded on allegations that Wood engaged in unethical or dishonest practices while in the securities industry. Case No. 337031 (Mar. 6, 2019)….
Michael John Wood, of Lake Tapps, Washington, a stockbroker registered with Thrivent Investment Management Inc., was terminated from employment on July 31, 2016, based upon allegations that he submitted variable settlement option transactions for a customer despite the customer never having consented to the transactions. Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Wood…