Securities Lawyers Blog
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Daryl Tomobu Serizawa, currently employed by Woodbury Financial Services, Inc., has been subject to at least three customer complaints during his career. According to records kept by the Financial Industry Regulatory Authority (FINRA), Serizawa’s customer complaints allege that Serizawa engaged in excessive trading, made investments that were not in the client’s best interests, and inappropriately sold private investment funds.
In December 2019, a customer complained that Serizawa violated the securities laws by alleging that Serizawa inappropriately sold private investment funds. The claim settled in the amount of $335,875.45.
In March 2005, a customer complained that Serizawa violated the securities laws by alleging that Serizawa took advantage of the customer in making purchases and sales that were not always in their best interest. Rather, it is claimed that these transactions were done specifically to generate commissions. This claim alleged $119,754.88 in damages and was denied.
In March 2004, a customer complained that Serizawa violated the securities laws by alleging that Serizawa engaged in excessive trading. The claim settled in the amount of $22,000.