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 | 04/27/2022 | Customer Dispute | Settled | $1,372,000.00 | $0.00 | See Allegations |
| James Wallace Woods | 734272 | 42 | 04/21/2022 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See Allegations |
| James Wallace Woods | 734272 | 42 | 04/01/2022 | Customer Dispute | Settled | $288,000.00 | $0.00 | See Allegations |
| James Wallace Woods | 734272 | 42 | 03/30/2022 | Customer Dispute | Settled | $3,000,000.00 | $0.00 | See Allegations |
| James Wallace Woods | 734272 | 42 | 03/29/2022 | Customer Dispute | Settled | $394,200.00 | $0.00 | See Allegations |
| James Wallace Woods | 734272 | 42 | 03/21/2022 | Customer Dispute | Settled | $4,000,000.00 | $0.00 | See Allegations |
| James Wallace Woods | 734272 | 42 | 03/21/2022 | Customer Dispute | Settled | $1,200,000.00 | $0.00 | See Allegations |
| James Wallace Woods | 734272 | 42 | 02/11/2022 | Customer Dispute | Settled | $300,000.00 | $0.00 | See Allegations |
| James Wallace Woods | 734272 | 42 | 12/28/2021 | Customer Dispute | Award / Judgment | $6,989,700.00 | $0.00 | See Allegations |
| James Wallace Woods | 734272 | 42 | 12/09/2021 | Customer Dispute | Settled | $470,000.00 | $0.00 | See Allegations |