Tag Archives: Stephen Douglas Wood

FINRA Investigates UBS Stockbroker For Unauthorized Trading

February 06, 2020  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

Stephen Douglas Wood of Bedminster New Jersey a stockbroker currently employed by UBS Financial Services Inc. has been identified in an investigation initiated by Financial Industry Regulatory Authority (FINRA) on April 2, 2019 into accusations that (1) Wood failed to comply with FINRA Rule 2010 and NASD Rule 2510(b) by effecting purchases or sales of […]

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