JAMES WILLIAM WOOD

JAMES WILLIAM WOOD is currently employed as a Broker and/or Investment Adviser at RBC CAPITAL MARKETS, LLC located at 60 SOUTH SIXTH STREET, MINNEAPOLIS, MN, 55402-4422.

JAMES WILLIAM WOOD has worked at RBC CAPITAL MARKETS, LLC since May 29, 2002

Disclosure History

JAMES WILLIAM WOOD has 1 Disclosure Event(s).

Date: November 01, 1996
Category: Regulatory
Initiated By: 22E(6) MINNESOTA SUPREME COURT
Allegations: LATE PAYING MY REGISTRATION FEES FOR MYATTORNEY'S LICENSE
Resolution: Other Sanction Details: ATTORNEY LICENSE REINSTATED
Broker Comment: MY REGISTRATION FEES WERE DUE FOR MY ATTORNEY'SLICENSE IN OCT OF 1996. I HAD VERY LITTLE MONEY AT THE TIME ANDID NOT HAVE THE MONEY TO PAY THE FEE. THEY SENT ME A NOTICETHAT MY LICENSE WAS SUSPENDED UNTIL I PAID MY FEE. I PAID THEFEE AND WAS REINSTARTED.PLEASE NOTE: I HAVE RECEIVED THE NEW DISCLOSURE QUESTIONS 14D2 (A) & (B) AND BELIEVE THIS ACTION IS NOT RESPONSIVE TO THESE NEW QUESTIONS. SPECIFICALLY I WAS NOT "BARRED" FROM ANY ASSOCIATION WITH AN ENTITY REGULATED BY A STATE AUTHORITY THAT SUPERVISES OR EXAMINES BANKS, SAVING ASSOCIATES, OR CREDIT UNIONS, STATE INSURANCE COMMISSION. FURTHER MORE, THE UNDERLYING FACTS DO NOT REFERENCE ALLEGATION OF "FRAUDULENT MANIPULATIVE OR DECEPTIVE CONDUCT" AS I UNDERSTAND THESE TERMS.

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