RedFlags, Allegations and Complaints against ROGER DENNIS WOOD
Disclosure #1 for ROGER WOOD
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- eventDate: 3/11/2008
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Settled
- Disclosure Detail :: Allegations: CLIENT ALLEGES TRANSACTIONS WERE MADE WITHOUT HER APPROVAL, THAT THE INVESTMENTS MADE IN THE ACCOUNT WERE NOT IN ACCORDANCE WITH THE CLIENT’S INVESTMENT GOALS AND THAT THE ANNUITIES PURCHASED IN THE ACCOUNT WERE FRAUDULENTLY ACQUIRED. DAMAGES ESTIMATED TO BE IN EXCESS OF $5000.
- Damage Amount Requested: $5,000.00
- Settlement Amount: $4,726.39
- Arbitration Docket Number:
Should I file a FINRA complaint against brokers like ROGER DENNIS WOOD?
Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.
Update – 2022.11.15If you have suffered investment losses that may have been caused by ROGER DENNIS WOOD’s negligence or fraud, contact a FINRA lawyer today. Most FINRA lawyers work on a contingency fee basis, meaning that you will not be charged for their services unless they successfully collect money for you. Kindly add a comment, or contact us directly if you have any query, or want to be contacted by a FINRA lawyer today!
Frequently Asked Questions About ROGER DENNIS WOOD
What is ROGER WOOD’s Central Registration Depository (CRD) Number?
Which firm is ROGER DENNIS WOOD associated with?
COMMONWEALTH FINANCIAL NETWORK
Where is ROGER WOOD located?
9200 WEST UNION HILLS DRIVE, PEORIA, AZ, 85382
Where can I find more details about ROGER WOOD’s Investment Firm?
Visit https://brokercheck.finra.org/firm/summary/8032 to read a detailed report for COMMONWEALTH FINANCIAL NETWORK
Are there any disclosures, allegations or complaints filed against ROGER DENNIS WOOD?
Where can I download a detailed FINRA report for ROGER WOOD?
Is it safe to do business with ROGER DENNIS WOOD?
We’re not sure. Please research ROGER WOOD’s disclosures, allegations and complaints before taking a decision
Originally reported on November 16, 2022 @ 12:41 am
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