A variable annuity dispute naming Mario Rudolph (CRD 6169121) settled on August 20, 2026, for $82,504, BrokerCheck shows. The disclosure lists $61,411 in alleged damages. A settlement is not an admission of wrongdoing.
Investors potentially experienced sales practice violations because of securities broker Marc Gregory Minor [CRD: 2230271, East Peoria, Illinois], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Marc Minor worked for Woodbury Financial Services Inc. from April 23, 2003 to January 19, 2024. As of January 19, 2024, he works for Osaic Wealth Inc. in East Peoria, Illinois. See the following information to find out more about the disclosures involving Minor and his securities dealings.
Evidently, a Woodbury Financial Services client filed FINRA Arbitration No. 24-00595 about Marc Minor. Mainly, the client alleged that Minor made unsuitable recommendations and engaged in unauthorized trading. As a result, the client allegedly incurred damages linked to corporate bonds and real estate securities. Consequently, on November 15, 2024, Woodbury Financial Services settled this matter by paying the client $15,000.00 in damages.
Also, a client of Woodbury Financial Services disputed Marc Minor’s sales practices, according to a complaint dated December 23, 2016. Allegedly, Minor made misrepresentations about variable annuities. Therefore, the client sought compensation from Woodbury Financial Services or Minor in the amount of $62,000.00 in this matter. The firm closed this matter without a resolution.
Additionally, a client filed a complaint about Marc Minor. Supposedly, Minor made misrepresentations regarding an investment strategy. For this reason, the client allegedly sustained damages. Consequently, on August 9, 2016, Woodbury Financial Services Inc. settled this matter by paying the client $5,000.00 in damages.
In addition, a client of Woodbury Financial Services Inc. contested Marc Minor’s sales practices, based on a complaint dated February 16, 2012. Allegedly, Minor engaged in unauthorized trading of mutual funds. Therefore, the client sought compensation from Woodbury Financial Services Inc. or Minor. However, the firm denied this complaint.
Also, a Woodbury Financial Services Inc. client filed FINRA Arbitration No. 05-04698 about Marc Minor. Mainly, the investor alleged that Minor made unsuitable recommendations, failed to diversify investments, breached his fiduciary duty, and failed to supervise certain securities brokers. Because of this, the client allegedly experienced damages connected to variable annuities and fixed annuities. Consequently, on February 14, 2006, Woodbury Financial Services Inc. settled this matter by paying the client $6,000.00 in damages.
Did you experience losses because of Marc Minor? You can get in touch with Soreide Law Group at (888) 760-6552 or online and talk to a securities attorney about a potential recovery. Soreide Law Group has recovered losses for investors located within the US. Also, the firm takes cases on a contingency fee basis and advances the costs. Minor and brokerage firms Minor worked for deny accusations of sales practice violations.
A variable annuity dispute naming Mario Rudolph (CRD 6169121) settled on August 20, 2026, for $82,504, BrokerCheck shows. The disclosure lists $61,411 in alleged damages. A settlement is not an admission of wrongdoing.
In 2010, the SEC instituted public administrative and cease-and-desist proceedings against Brett Messing (CRD 2077288), BrokerCheck shows. Without admitting or denying the findings, the respondents consented to a finding that they willfully violated Rule 105 of Regulation M.
Customers filed a pending arbitration on March 17, 2026, that names Jonathan Blount (CRD 5700831) and LPL Financial. BrokerCheck shows it under docket 26-00397. The allegations are unproven, Blount denies them, and no arbitrator has ruled.
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