Stephen Wood, Financial Advisor Stephen Wood Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses
Stephen Wood CRD #1308917
Stephen Wood was a formerly licensed financial advisor with UBS Financial Services, Inc. According to Stephen Wood’s CRD, Stephen Wood was suspended from the securities industry indefinitely in November 2018.
According to FINRA:
Stephen Wood failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.
According to Stephen Wood’s CRD, Stephen Wood was named in customers’ complaint that asserted the following causes of action: unsuitability, breach of fiduciary duty, fraud and misrepresentation, Securities Law & Self-Regulatory Organization rule violations, violation of New Jersey Securities Act, negligence, breach of contract, respondeat superior, aiding and abetting, and failure to supervise. According to Stephen Wood’s CRD the Arbitrator found Stephen Wood liable and ordered Stephen Wood to pay Claimants the sum of $301,423 in compensatory damages.
Goodman & Nekvasil, P.A. May Recover Investor Losses:
If you lost money on investments with Stephen Wood and believe the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action concerning Stephen Wood’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.
Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $180 million on behalf of victimized investors. If you lost money on investments with Stephen Wood and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.
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