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.
More Information
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
To view the full report for JAMES WILLIAM WOOD, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.