Our Staff has compiled our research into a database of FINRA Broker Allegations for James Wallace Woods.
Search by Allegation Text:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | Allegations |
|---|---|---|---|---|---|---|---|---|
| James Wallace Woods | 734272 | 42 | 01/18/2023 | Customer Dispute | Settled | $580,000.00 | $0.00 | See Allegations |
| James Wallace Woods | 734272 | 42 | 12/28/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See Allegations |
| James Wallace Woods | 734272 | 42 | 11/29/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See Allegations |
| James Wallace Woods | 734272 | 42 | 11/21/2022 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See Allegations |
| James Wallace Woods | 734272 | 42 | 11/18/2022 | Customer Dispute | Settled | $4,500,000.00 | $0.00 | See Allegations |
| James Wallace Woods | 734272 | 42 | 11/07/2022 | Customer Dispute | Settled | $300,000.00 | $0.00 | See Allegations |
| James Wallace Woods | 734272 | 42 | 09/15/2022 | Customer Dispute | Settled | $900,000.00 | $0.00 | See Allegations |
| James Wallace Woods | 734272 | 42 | 09/13/2022 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See Allegations |
| James Wallace Woods | 734272 | 42 | 08/17/2022 | Customer Dispute | Settled | $104,100.00 | $0.00 | See Allegations |
| James Wallace Woods | 734272 | 42 | 07/28/2022 | Customer Dispute | Settled | $2,000,000.00 | $0.00 | See Allegations |