David Albert Ross, of Murfreesboro, Tennessee, a stockbroker registered with Woodbury Financial Services, was terminated from employment on April 15, 2016, based upon allegations that Ross, inter alia, effected unauthorized loan arrangements with the firm’s customers and engaged in an outside business activity that was not authorized by Woodbury Financial Services.
FINRA Public Disclosure reveals that on August 3, 2006, a customer initiated investment related arbitration claim involving Ross’ conduct was settled for $32,849.00 in damages based upon allegations that Ross, while associated with Signator Investors, effected trades of BP stock in the customer’s account without authorization.
Guiliano Law Group
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