FINRA bars Stephen John Woods (CRD #4390407, Freeport, New York)
Get Your Free Consultation
On April 20, 2022 GWG Holdings, Inc. (GWG) filed for bankruptcy in the U.S. Bankruptcy Court for the Southern District of Texas (case 22-90032). According to an article in the Wall Street Journal, published on the same day, the bankruptcy was due to “accounting issues...read more
March 15, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Woods was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Woods consented to the sanctions and to the entry of findings that he failed to produce documents and information requested by FINRA in connection with an ongoing investigation regarding his trading activity in customer accounts. (FINRA Case #2017052732401). If you or someone you know has lost money investing with Stephen Woods, call the experienced attorneys at Epperson & Greenidge at 877-445-9261 for a free consultation. You may be eligible to recoup your losses. Epperson & Greenidge accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-445-9261 now to speak to an attorney for free.