Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on July 23, 2018 indicate that Kentucky-based Thurston Springer Financial broker/adviser Donald Woods has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Woods (CRD# 727894).
Donald Woods has spent 30 years in the securities industry and has been registered with Thurston Springer Financial in Louisville, Kentucky since 2016. Previous registrations include LPL Financial in Louisville, Kentucky (2010-2017); Wells Fargo Advisors in Louisville, Kentucky (2008-2009); Money Concepts Capital Corporation in Palm Beach Gardens, Florida (2004-2005); AXA Advisors in New York, New York (2000-2004); Wedgewood Partners in St. Louis, Missouri (1994-2000); Money Concepts Capital Corporation in Palm Beach Gardens, Florida (1991-1994); JC Bradford & Company in New York, New York (1981-1989); and Almstead Brothers (1981-1984). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on December 18, 2008; Series 65 (Uniform Investment Adviser Law Examination), which he obtained on May 9, 2008; and Series 7 (General Securities Representative Examination), which he obtained on December 9, 2008. He is a registered broker and investment adviser with two US states: Indiana and Kentucky.
According to his BrokerCheck report, he has received one customer complaint, two pending customer complaints, and one denied customer complaint.
In March 2018 a customer alleged Donald Woods, while employed at LPL Financial, made unsuitable investment recommendations, misrepresented material facts, failed to make investments in a timely manner, and altered documents. The customer is seeking unspecified damages in the pending complaint.
In March 2018 a customer alleged Donald Woods, while employed at LPL Financial, misrepresented financial information, recommended unsuitable products, charged “unwarranted fees,” and failed to invest “in a timely manner.” The customer is seeking more than $26,800 in damages in the pending complaint.
In February 2017 a customer alleged Donald Woods, while employed at LPL Financial, misrepresented material facts related to a structured product. The complaint settled in March 2017 for $10,722.
In 2016 a customer alleged he, while employed at LPL Financial, mismanaged accounts and recommended unsuitable investments. The customer sought unspecified damages in the complaint, which was denied.
If you or someone you know has complaints regarding Donald Woods, call the experienced attorneys at Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on contingency: we only receive payment if and when you collect money. Time to file your claim may be limited, so we suggest you avoid delay. Call 877-238-4175 now to speak to an attorney for free.