Securities Lawyers Blog
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Steven Woods (Woods), currently associated with Stirlingshire Investments, has been subject to at least 3 disclosable events. These events include 3 customer complaints. Several of those complaints against Woods concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $200,123.00 on December 11, 2020.
Client alleges overconcentration, unsuitability and excessive trading