Stephen John Woods (Stephen Woods) Barred from Securities Industry, Formerly Licensed with PHX Financial, Inc. – Goodman & Nekvasil P.A., May Recover Investor Losses
Stephen Woods was licensed with PHX Financial, Inc. from 2016 until 2018. Stephen Woods was barred from the securities and investment banking industry on March 15, 2018. FINRA reports that Stephen Woods consented to the sanction and to the entry of findings that Stephen Woods failed to produce documents and information requested by FINRA in connection with an ongoing investigation regarding his trading activity in customer accounts.
If you lost any money on investments with Stephen Woods, you may be able to recover your losses from PHX Financial, Inc. This is because PHX Financial, Inc. had a duty to supervise Stephen Woods.
If you lost money on investments with Stephen Woods 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 against PHX Financial, Inc. concerning Stephen Woods’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 Woods 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.