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Woodbury Financial Services- Discloses 22 Regulatory Issues/ Fines
Woodbury Financial Services- Discloses 22 Regulatory Issues/ Fines 150 150 ER

Woodbury Financial  Services Investigation WOODBURY FINANCIAL ACQUIRED BY OSAIC FINANCIAL – SEE LINK August 2024 The FINRA records of Woodbury Financial Services,   disclose 22  final regulatory events, 8 prior customer disputes,…

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Dustin Ward- Woodbury Financial Broker- Discloses 2 Pending Customer Suits -St. Louis, MO
Dustin Ward- Woodbury Financial Broker- Discloses 2 Pending Customer Suits -St. Louis, MO 150 150 ER

Dustin Ward Investigation May 2022 – St. Louis, MO According to publicly available records, Dustin Ward, a Woodbury Financial broker discloses 2 pending customer disputes. The Financial Industry Regulatory Authority (FINRA)…

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Richard “Chuck” Riggenbach – Former Woodbury Financial Services Broker-Discloses A Pending Customer Suit Over Unsuitable Real Estate Securities – Bloomfield, IA
Richard “Chuck” Riggenbach – Former Woodbury Financial Services Broker-Discloses A Pending Customer Suit Over Unsuitable Real Estate Securities – Bloomfield, IA 150 150 ER

Richard “Chuck” Riggenbach Investigation April 2022- Bloomfield, IA According to publicly available records Richard “Chuck” Riggenbach,  a broker previously registered with Woodbury Financial Services, Inc.  discloses a pending customer dispute.…

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  • Robert Rex, Esq.

Jack Maloney III-Former Edward Jones Broker-Subject of Customer Suit Over FireEye Inc.-Morristown/Johnson City, TN
Jack Maloney III-Former Edward Jones Broker-Subject of Customer Suit Over FireEye Inc.-Morristown/Johnson City, TN 150 150 Robert Rex, Esq.

May 2019- Morristown/Johnson City , Tennessee The FINRA records of John J. Maloney III (Jack Maloney)  , a stock broker who is employed by Woodbury Financial Services , disclose  a pending customer dispute, 4 prior…

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  • Robert Rex, Esq.

Thomas Carreras-Ameritas Investment Broker-Discloses Customer Dispute- West Palm Beach, FL
Thomas Carreras-Ameritas Investment Broker-Discloses Customer Dispute- West Palm Beach, FL 150 150 Robert Rex, Esq.

January 2017-West Palm Beach, FL According to publicly available records Thomas B. Carreras (CRD# 1815164) ,  a  stockbroker currently employed by Ameritas Investment Corp. ,  discloses a  pending customer dispute. The Financial Industry…

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  • Robert Rex, Esq.

Delbert W. Carnes-Woodbury Financial Broker-Discloses Settlement with Customers & Outstanding Judgment-Colorado Springs
Delbert W. Carnes-Woodbury Financial Broker-Discloses Settlement with Customers & Outstanding Judgment-Colorado Springs 150 150 Robert Rex, Esq.

August 2016- Colorado Springs, CO The FINRA records of Delbert W. Carnes ,  a  stock broker who is currently  employed by Woodbury Financial Services  disclose 5 prior customer disputes and a currently outstanding judgment. The Financial…

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  • Robert Rex, Esq.

Stephen L. Swarbrick-Questar Capital Broker-Discloses Customer Complaint Over Oil & Gas Investments-Roseville,CA
Stephen L. Swarbrick-Questar Capital Broker-Discloses Customer Complaint Over Oil & Gas Investments-Roseville,CA 150 150 Robert Rex, Esq.

Roseville, California UPDATE JUNE 2017-In January 2017 a customer of Woodbury Financial and Questar Capital Corp. filed a complaint with the CA Department of Business Oversight alleging unsuitable sales for…

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  • Robert Rex, Esq.

Jeffrey L. Boddy-Woodbury Financial Broker-Discloses Numerous Tax Liens
Jeffrey L. Boddy-Woodbury Financial Broker-Discloses Numerous Tax Liens 150 150 Robert Rex, Esq.

Farmington, New Mexico According to FINRA records, Jeffrey L. Boddy a broker who works for Woodbury Financial Services, Inc. discloses 1 prior customer dispute and 24 unsatisfied and outstanding judgments or…

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  • Robert Rex, Esq.

Port Orange Florida Stock Broker Sanctioned by FINRA
Port Orange Florida Stock Broker Sanctioned by FINRA 150 150 Robert Rex, Esq.

July 24,  2015- Port Orange, Florida Dennis Ray Roberts ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he borrowed…

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  • Robert Rex, Esq.

Former Thrivent Investment Management Broker Sanctioned for Falsifying Annuity Documents
Former Thrivent Investment Management Broker Sanctioned for Falsifying Annuity Documents 150 150 Robert Rex, Esq.

June 24, 2015 Bruce R. Geiger entered into an Order Accepting Offer of Settlement with the Financial Industry Regulatory Authority (FINRA) to resolve allegations by FINRA that he had violated…

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