The law firm of Oakes & Fosher is currently investigating the possible negligence and/or misconduct of former securities broker Stephen Woods. According to his publicly available FINRA BrokerCheck report, Stephen Woods was sanctioned by FINRA in March 2018.

Stephen Woods worked most recently as a New York based securities broker. He worked in the securities industry for thirteen years. During his career, he was registered with fourteen different securities firms. He is no longer working as a registered securities broker in any fashion.

His Registrations

  • Kevin G. Boyle Securities (2001-2003)
  • JBS Securities Corp. (2003-2004)
  • John Nisler, Sole Proprietor (2005)
  • Vision Securities (2006)
  • Pointe Capital (2006-2008)
  • Clark Dodge & Co. (2008)
  • A&F Financial Securities (2008-2011)
  • Spartan Capital Securities (2011-2013)
  • B.B. Graham & Company (2012)
  • Brookville Capital Partners (2013-2015)
  • Global Arena Capital Corp. (2014)
  • Tryco Securities (2015)
  • Legend Securities (2015-2016)
  • PHX Financial, Inc. (2016-2018)

The Allegations

In March 2018, Stephen Woods allegedly failed to comply with a FINRA investigation into his trading activities and was thus barred by FINRA from acting as a securities broker in any fashion.

Oakes & Fosher Can Help

Many investors are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who have lost money in this fashion may actually be entitled to damages. Oakes & Fosher dedicates its entire legal practice to helping investors across the nation. If you, or someone you know, have lost money investing with Stephen Woods, please contact Oakes & Fosher for a free and private consultation. Oakes & Fosher handles cases on a contingency basis, which means there are no fees charged unless we collect for you.