JOEL FLOYD WOODS is currently employed as a Broker and/or Investment Adviser at CONCORDE INVESTMENT SERVICES, LLC located at 4700 Bryant Irvin Court, #303, Fort Worth, TX, 76107.
JOEL FLOYD WOODS has worked at CONCORDE INVESTMENT SERVICES, LLC since November 23, 2016
Disclosure History
JOEL FLOYD WOODS has 3 Disclosure Event(s).
Date: November 13, 2012 Category: Customer Dispute Allegations: CLIENT ALLEGES UNSUITABILITY. BEGINNING IN LATE 2005 THROUGH LATE 2008 Damage Amount Requested: $306,800.00 Settlement Amount: $155,000.00 Broker Comment: MR. WOODS WAS THE SUBJECT OF THE ARBITRATION FILED BY [CUSTOMER]. MR. WOODS WAS NOT A NAMED DEFENDANT. WE WILL UNABLE TO "UNCHECK" CERTAIN BOXES RELATING TO A INCORRECT FILING.
Date: January 30, 2012 Category: Customer Dispute Allegations: CLIENT ALLEGES IT WAS HER UNDERSTANDING SHE COULD WITHDRAW 10% PER YEAR WITHOUT REDUCING ORIGINAL PRINCIPAL. SHE BELIEVES SHE AS LIED TO. Damage Amount Requested: $400,000.00 Broker Comment: CLIENT ALLEGES IT WAS HER UNDERSTANDING SHE COULD WITHDRAW 10% PER YEAR WITHOUT REDUCING ORIGINAL PRINCIPAL. SHE BELIEVES SHE AS LIED TO. TX DEPT. OF INSURANCE, ALLIANZ AND EDI ALL REVIEWED THE PAPERWORK & SUPPORTING DOCUMENTATION & THERE DOES NOT APPEAR TO BE ANY WRONG DOING. CLIENT WAS PROPERLY INFORMED & THEREFORE HER ALLEGATION IS WITHOUT MERIT. TX DEPT. OF INSURANCE, ALLIANZ & EDI CONSIDER THE MATTER CLOSED. CLIENT SURRENDERED HER POLICY & PAID THE EARLY WITHDRAWAL
Date: May 27, 2010 Category: Customer Dispute Allegations: CLIENT INVESTED IN AMIDEE HOTELS/RESORTS(AHR)APRPOX 04/2008, PARENT COMPANY WENT INTO BANKRUPTCY, CORRESPONDENCE TO INVESTORS CEASED, CLIENT ALLEGES AMIDEE CAPITAL, MR. WOODS & EVERYONE OUT TO GET HIS MONEY Broker Comment: CLIENT HAS TAKEN NO ACTION
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 JOEL FLOYD WOODS, 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.