WILLIAM SHAWN WOODWARD

WILLIAM SHAWN WOODWARD is currently employed as a Broker and/or Investment Adviser at DAVID A. NOYES & COMPANY located at 209 S LASALLE STREET, SUITE 300, CHICAGO, IL, 60604.

WILLIAM SHAWN WOODWARD has worked at DAVID A. NOYES & COMPANY since February 13, 2009

Disclosure History

WILLIAM SHAWN WOODWARD has 2 Disclosure Event(s).

Date: May 23, 2006
Category: Customer Dispute
Allegations: CLIENT ALLEGES THAT FINANCIAL ADVISOR MADE MISREPRESENTATION AND UNSUITABLE INVESTMENT RECOMMENDATIONS.
Damage Amount Requested: $122,000.00
Broker Comment: WE RESPONDED TO THE CLIENT DENYING HIS ALLEGATIONS. WE BELIEVE THEM TO BE WITHOUT MERIT.

Date: July 17, 2002
Category: Customer Dispute
Allegations: CLIENTS ALLEGE THAT FINANCIAL ADVISOR MADE UNSUITABLE INVESTMENTS IN CUSTODIAL ACCOUNTS, AS WELL AS UNAUTHORIZED WITHDRAWLS FROM THOSE CUSTODIAL ACCOUNTS
Damage Amount Requested: $119,477.00
Settlement Amount: $45,500.00

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 WILLIAM SHAWN WOODWARD, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.