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 | 11/18/2021 | Customer Dispute | Settled | $510,000.00 | $0.00 | See Allegations |
| James Wallace Woods | 734272 | 42 | 11/16/2021 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See Allegations |
| James Wallace Woods | 734272 | 42 | 11/12/2021 | Customer Dispute | Settled | $3,300,000.00 | $0.00 | See Allegations |
| James Wallace Woods | 734272 | 42 | 11/11/2021 | Customer Dispute | Settled | $3,300,000.00 | $0.00 | See Allegations |
| James Wallace Woods | 734272 | 42 | 11/10/2021 | Customer Dispute | Award / Judgment | $2,500,000.00 | $0.00 | See Allegations |
| James Wallace Woods | 734272 | 42 | 11/03/2021 | Customer Dispute | Settled | $1,200,000.00 | $0.00 | See Allegations |
| James Wallace Woods | 734272 | 42 | 09/17/2021 | Customer Dispute | Settled | $3,800,000.00 | $0.00 | See Allegations |
| James Wallace Woods | 734272 | 42 | 09/02/2021 | Customer Dispute | Settled | $1,400,000.00 | $0.00 | See Allegations |
| James Wallace Woods | 734272 | 42 | 08/31/2021 | Customer Dispute | Settled | $170,000.00 | $0.00 | See Allegations |
| James Wallace Woods | 734272 | 42 | 01/09/2002 | Customer Dispute | Settled | $78,053.00 | $0.00 | See Allegations |