Matthew Charles Woodard—Customer Fund Conversion
Matthew Charles Woodard Allegedly Woodard Converted Customer Funds from a Deceased Firm Customer’s Account
Matthew Charles Woodard allegedly converted customer funds from a deceased Firm (First Allied Securities Inc.) customer’s account, according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC).
Matthew Charles Woodard entered the securities industry in July 2009 and became registered with FINRA as a General Securities Representative in August 2009, and, from July 2009 to August 2014, Woodard was associated with three FINRA member firms, the AWC notes.
Matthew Charles Woodard Barred by FINRA for Alleged Failure to Provide Documents and Information Requested During Course of an Investigation
Matthew Charles Woodard has been barred by FINRA for failure to provide documents and information requested during the course of an investigation into allegations that Woodard converted customer funds from a deceased Firm (First Allied Securities Inc.) customer’s account, the AWC notes.
By refusing to respond to FINRA’s request for documents and information as requested pursuant to FINRA Rules Woodard allegedly violated FINRA Rules, the AWC notes.
One should also note that, according to the AWC, Matthew Charles Woodard neither admitted nor denied the FINRA findings
The Peiffer Wolf Carr & Kane Securities Lawyers Often Assist Investors
The Peiffer Wolf Carr & Kane securities lawyers assist investors who lose money as a result of customer fund conversion. They take most cases of this type on a contingency fee basis and advance the case costs, and only get paid for their fees and costs out of money they recover for their clients.
Investors who believe they lost money as a result of customer fund conversion are encouraged to contact the securities lawyers at Peiffer Wolf Carr & Kane, Jason Kane or Joe Peiffer, for a free, no-obligation evaluation of their recovery options, at (585) 310-5140.