(888) 637-5510

Written by 2:25 pm Blog, Securities Fraud Articles

Securities Regulatory Information Regarding Woodbury Financial

The following is a brief breakdown of publicly available information regarding Woodbury Financial and its securities sales practices and FINRA regulatory history.

Woodbury Financial is a FINRA registered broker-dealer based in Oakdale, Minnesota. Woodbury Financial’s website states that the firm has more than 200 home office employees and about 1,550 independent representatives throughout the United States.

Although Woodbury Financial has a solid reputation in the securities industry, investors should know that the firm does have numerous reportable events on its FINRA Broker Report (or CRD).

According to the firm’s CRD, Woodbury Financial has been named in at least 10 regulatory events related to possible securities fraud violations. The firm has been the subject of investigations conducted by FINRA, the Vermont Securities Division, the Arizona Securities Division, and the Securities and Exchange Commission (among others). These regulatory investigations involved the following investment products (among others): insurance, variable annuities, and mutual funds.

The firm has also been named in over 4 FINRA arbitration claims filed by investors. These claims involved various investment types and causes of action.

The foregoing is but a brief summary of the firm’s FINRA Broker Report. To access Woodbury Financial’s full CRD, you can visit http://brokercheck.finra.org.

If you have any questions about investments you made with Woodbury Financial, or if you believe that you have been the victim of a securities fraud, The White Law Group may be able to help. To contact the firm, please call 312/238-9650 or 561/807-6804.

The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Boca Raton, Florida.

For more information on The White Law Group, please visit https://whitesecuritieslaw.com.

Tags: , , , , , , , , , , , , , , , , , , Last modified: July 17, 2015