Tag Archives: Woodrock Securities LP

FINRA Sanctions Woodrock Securities Stockbroker For Selling Outside Investments

March 08, 2021  |   Posted by :   |   Investment and Regulatory News, Private Placement Fraud, Promissory Notes, Selling Away and Outside Activities   |   Comments Off on FINRA Sanctions Woodrock Securities Stockbroker For Selling Outside Investments

Sean Daniel McDevitt of Houston Texas a stockbroker formerly registered with Woodrock Securities LP has been fined $10,000.00 and suspended for six months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that McDevitt engaged in outside business activities while registered with Woodrock. Letter of Acceptance Waiver and […]

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