Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Wood (Wood), currently associated with Moloney Securities Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Wood recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $218,750.00 on October 24, 2022.
Suitability/negligence. 2013-2015