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Category: Woodbury Financial Services

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Unsuitability Allegations Pending Against Woodbury Financial Financial Advisor Brian Marston

Brian Marston (CRD#: 733083) is a dually registered Broker and Investment Advisor at Woodbury Financial Services, Inc. in Greenwood Village, CO. He entered the securities industry in 1981 and previously worked for RMN Securities, Inc.; Next Financial Group, Inc.; National Planning Corporation; Pruco Securities Corp.; and The Prudential Insurance Company of America..   According to […]

Former Woodbury Investment Advisor Lisa Brumm Suspended and Fined for Making Unsuitable Recommendations to Investors

Lisa Ann Brumm, also known as Lisa Ann Moon (CRD#: 2834764) was an Investment Advisor at Woodbury Financial Services, Inc., in Portland, OR from April 2017 to December 2020. She entered the securities industry in 1997 and previously worked for AXA Advisors, LLC; Park Avenue Securities, LLC; Ameritas Investment Corp.; Sunamerica Securities, Inc.; World Group […]

Former Woodbury Financial Services, Inc. Broker, Ronald Hannes, Barred By FINRA For Failing To Cooperate With FINRA Investigation Regarding The Conversion Of Client Assets

Ronald Hannes (CRD # 1462241) was a Financial Advisor at Woodbury Financial Services, Inc. in Spokane, WA. Ronald Hannes has been in the securities industry since 1986 and was registered at Fortis Investors, Inc., Amev Investors, Inc., and BLN Investment Corp. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on […]

Former Woodbury Financial Services, Inc. Broker, Jodie Lane, Suspended Six Months By FINRA For Allegedly Accepting Gifts And Becoming Beneficiary Of A Client

Jodie Lane (CRD # 5069112) was a Financial Advisor at Woodbury Financial Services, Inc. in Greenfield, WI. Jodie Lane has been in the securities industry since 2006 and previously worked at SII Investments, Inc., LPL Financial LLC, Uvest Financial Services Group, Inc., and Edward Jones. According to publicly available records released by the Financial Industry […]

Did You Purchase GPB Capital Holdings From Former Independent Financial Group Broker, Daryl Serizawa?

Daryl Serizawa (CRD #2293939) is a Financial Advisor at Woodbury Financial Services, INC. in Irvine, CA. Daryl Serizawa has been in the securities industry since 1993 and previously worked at ten different brokerage firms including Independent Financial Group, Pacific West Securities, and LPL Financial Corporation. Daryl Serizawa is accused of selling GPB private placements. As […]

Woodbury Financial Services Settled Customer Theft Claim Involving Former Broker, Raymond Ferro, For $1.56 Million

Raymond Ferro, Jr. aka Ray Ferro (CRD # 1927831) was a Financial Advisor at Woodbury Financial Services in Danbury, Connecticut. Raymond Ferro, Jr. aka Ray Ferro began in the securities industry since 1997 and previously worked at NEXT Financial Group and LPL Financial Corp. The Wolper Law Firm has been retained by clients, who were […]

Woodbury Financial Broker, Robert Ginsberg, Has Pending Complaint For $1MM

The Wolper Law Firm is currently investigating claims against Robert Ginsberg, a Financial Advisor at Woodbury Financial Services in Wallingford, Connecticut.  Robert Ginsberg has been in the securities industry since 2008 and previously worked at Investors Capital Corp. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on November 27, 2017, […]

Former Woodbury Financial Broker, Daniel Flores, Barred By FINRA

The Wolper Law Firm is currently investigating claims against Daniel Flores, a former Financial Advisor at Woodbury Financial Services in Appleton, Wisconsin.  Daniel Flores has been in the securities industry since the 1990s and previously worked at Princor Financial Services Corp.. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on […]

Woodbury Financial Services Broker, John Maloney, Has Two Pending Customer Complaints Based on Unsuitable Investment Recommendations

The Wolper Law Firm is currently investigating claims against John Maloney, a Financial Advisor at Woodbury Financial Services in Morristown, New Jersey.  John Maloney has been in the securities industry since 1981 and previously worked at Edward Jones until 2016. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on November […]