FINRA reports allegations of sales practice violations by securities broker Steven Mackie Woods AKA Steven Woods [CRD#: 5715598, New York, New York]. Evidently, clients disputed the sales practices of the securities broker, who worked for Laidlaw Company (UK) Ltd. However, Woods denies the allegations of sales practice violations. Read on to learn more about the allegations against Woods.
Evidently, a client of Laidlaw Company (UK) Ltd. contested Steven Woods' sales practices by filing FINRA Arbitration #: 20-03892 on December 11, 2020. Notably, accusations against the securities broker include excessive trading, overconcentration, and unsuitable transactions. Allegedly, the stocks and over-the-counter equities that Woods sold or recommended resulted in damages. Therefore, Laidlaw Company (UK) Ltd. opted to settle the matter on June 10, 2022, by compensating the client in the amount of $30,000.01. Still, the broker denies the allegations against him.
Notably, on December 11, 2020, a Laidlaw Company (UK) Ltd. client filed FINRA Arbitration #: 20-03892 about Steven Woods. Specifically, the client alleged unsuitable trading, overconcentration, and excessive trading. Because of this, the client allegedly sustained damages relating to purchases or sales of over-the-counter equities and stocks. Therefore, the client requested $200,123 in compensation from Laidlaw Company (UK) Ltd. or Woods. Evidently, this arbitration is pending a resolution.
Evidently, a client of Laidlaw Company (UK) Ltd. contested Steven Woods' sales practices by filing FINRA Arbitration #: 20-03892 on December 11, 2020. Notably, accusations against the securities broker include unsuitable transactions, excessive trading, and overconcentration. Allegedly, the stocks and over-the-counter equities that Woods sold or recommended resulted in damages. Therefore, the client seeks compensatory relief from Laidlaw Company (UK) Ltd. or Woods in the amount of $278,274 in this ongoing matter.
Have you experienced damages by investing with Steven Woods? If so, contact Soreide Law Group at (888) 760-6552 and speak with a securities lawyer about a possible recovery of your investment losses. Soreide Law Group, who has successfully recovered money for hundreds of investors in all 50 states, represents clients on a contingency fee basis and advances all costs. Please keep in mind that Woods and the brokerage firms Woods has associated with deny any and all allegations of sales practice violations.
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