Tag Archives: Stephen John Woods

PHX Financial Broker Barred For Hindering Investigation

March 22, 2018  |   Posted by :   |   Boilerroom Sales, Investment and Regulatory News   |   0 Comments

Stephen John Woods of Hauppauge New York is a stockbroker formerly registered with PHX Financial Inc. who has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity by consenting to findings that he obstructed a FINRA investigation into allegations of his trading in customer accounts. Letter of Acceptance Waiver […]

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