Articles Tagged with John Woods

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Woods (Woods), previously associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Woods recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $103,000.00 on August 26, 2025.

Fraud; Aiding and Abetting Breach of Fiduciary Duty; Aiding and Abetting Fraud; Breach of Fiduciary Duty. From 2008 to 2016.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Woods (Woods), previously associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Woods recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $500,000.00 on April 24, 2025.

Former FAs allegedly conducted a Ponzi Scheme; Failure to Supervise; Violation of FINRA Rules; Breach of Fiduciary Duty; Respondeat Superior/Agency by Estoppel. From 2013 to 2021

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Woods (Woods), previously associated with Oppenheimer & Co. Inc., has at least 15 disclosable events. These events include 14 customer complaints, one tax lien, alleging that Woods recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on October 07, 2024.

Violation of FINRA rules; Violations of Georgia & NC Blue Sky Laws and RICO; Breach of Fiduciary Duty; Breach of the Duty of Good Faith & Fair Dealing; Breach of Contract; Respondeat Superior/Agency by Estoppel Liability; \, Ponzi Scheme. From 2013 to 2016.