DOUGLAS DONALD WOOD is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 1055 LPL WAY, FORT MILL, SC, 29715.
DOUGLAS DONALD WOOD has worked at LPL FINANCIAL LLC since March 15, 2017
Disclosure History
DOUGLAS DONALD WOOD has 1 Disclosure Event(s).
Date: December 30, 1986 Category: Regulatory Initiated By: CHICAGO BOARD OPTIONS EXCHANGE Resolution: Consent SanctionDetails: Sanctions: Suspension Broker Comment: WOOD WAS DISCHARGED FROM DEAN WITTER REYNOLDS INC. AND WAS THE SUBJECT OF A DISCIPLINARY PROCEEDING BEFORE THE CHICAGO BOARD OPTIONS EXCHANGE, INC. ("IN THE MATTER OF: DOUGLAS D. WOOD, RESPONDENT," FILE NO. 86-0102). ON DECEMBER 30, 1986, THE CBOE ACCEPTED WOOD'S OFFER OF SETTLEMENT BASED UPON ITS FINDING OF THE FOLLOWING FACTS: DURING ALL RELEVANT PERIODS, WOOD WAS REGISTERED WITH THE EXCHANGE AS A REPRESENTATIVE OF DEAN WITTER; ON OR ABOUT DECEMBER 18, 1985, WOOD EFFECTED THE PURCHASE OF TWELVE CONTRACTS IN THE STANDARD & POOR'S 100 STOCK INDEX (OEX) FEB 195 CALL OPTION SERIES FOR A PUBLIC CUSTOMER WITHOUT THAT CUSTOMER'S AUTHORIZATION. THE CBOE CONCLUDED THAT THIS CONSTITUTES VIOLATIONS OF EXCHANGE RULES 4.1. AND 9.10(A) BY WOOD AND ORDERED THAT HE BE SUSPENDED FOR TWO CONSECUTIVE WEEKS.
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