Tag Archives: Steven Douglas Wood

FINRA Suspends UBS Broker For Failure To Pay Award

December 21, 2018  |   Posted by :   |   Investment and Regulatory News, Securities Arbitration Claims   |   0 Comments

Steven Douglas Wood of Warren New Jersey a stockbroker formerly employed by UBS Financial Services Inc. has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he failed to pay a $301,432.00 Arbitration Award after being found liable for defrauding a customer. FINRA […]

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