Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Wood (Wood), currently associated with Huntleigh Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Wood recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on January 23, 2025.
Clients emailed a complaint related to the October 2023 opening of a priority credit line (PCL) used to temporarily fund the purchase of a new home, using securities from their other accounts as collateral. Clients allege it was not explained to them that the credit line would accrue interest, and asked to have the management fees and PCL interest returned or reimbursed to them.
