October 2020- Irvine, CA
According to publicly available records, Daryl Tomobu Serizawa, a Woodbury Financial Services, Inc. broker discloses a pending customer dispute.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In December of 2019, a customer of Woodbury Financial Services, Inc. filed FINRA case #19-03595 alleging inappropriate sale of private investment funds and is seeking damages of $350,000. The case is currently pending.
Serizawa has been employed with Woodbury Financial Services, Inc. since August of 2017. Before that time he was employed with Independent Financial Group, Pacific West Securities, Inc. and Linsco Private Ledger.
If you have losses in an account handled by Daryl Serizawa, call to learn how you may be able to recover damages through FINRA arbitration.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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