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FINRA Broker Allegations

Allegations against: James Wallace Woods

Allegation type: Customer Dispute

Allegation status: Settled

The allegations read: Customer, on behalf of himself, and two other family members and compu-trol employees' target benifit plan, alleged that my recommendations were unsuitable and not in keeping with investment objections. Customer alleges that i overstated the account value and engaged in excessive transactions.

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