Public records published by the Financial Industry Regulatory Authority (FINRA) on July 21, 2017 indicate that former California-based Wedbush Securities broker/adviser Steve Woo has received a customer dispute and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Woo (CRD# 5302065).
Steve Woo has spent eight years in the securities industry and was most recently with Wedbush Securities in Los Angeles, California (2016-2017). Previous registrations include JP Morgan Securities in Torrance, California (2012-2016); Chase Investment Services in Torrance, California (2010-2012); and Signator Investors in Irvine, California (2008-2009). He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination) and Series 7 (General Securities Representative ExaminationTK). He is currently not registered with any state or firm.
According to his BrokerCheck report, Steve Woo was discharged from a former employer and has received one customer complaint.
In 2016 a customer alleged Steve Woo, while employed at JP Morgan Securities, executed unauthorized transactions in connection to an investment in a mutual fund. The complaint settled for more than $35,400.
In 2016 he was terminated from JP Morgan Securities following allegations he exercised discretion in a customer accounts without obtaining prior authorization from the customers in question. The disclosure on his BrokerCheck report notes further: “No incentive compensation was generated from the trades. No reportable customer complaints have been received as of the date of this filing.”
If you or someone you know has lost money investing with Steve Woo, call the experienced attorneys at Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.