Tag Archives: Michael John Wood

Independent Financial Stockbroker Sanctioned By Regulators

September 13, 2019  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

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). […]

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Thrivent Investment Broker Fired For Misconduct

July 29, 2017  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

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 […]

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