Securities Arbitration Lawyers BlogFormer Tennessee Woodbury Broker Under Investigation Over Allegations of Outside Business Activities
Silver Law Group is investigation former Tennessee-based Woodbury Financial Services, Inc. broker David A. Ross (CRD# 3021782) for allegedly failing to disclose an outside business activity and accepting loans from firm clients.
According to Ross’s FINRA BrokerCheck report, Woodbury Financial Services (CRD# 421) discharged Ross in April 2016 for the allegations listed above as well as other undisclosed firm violations.
Ross has seven other disclosures on his FINRA BrokerCheck report. Of those other seven, six of them are tax liens totaling over $250,000.