Dustin Ward Investigation
May 2022 – St. Louis, MO
According to publicly available records, Dustin Ward, a Woodbury Financial broker discloses 2 pending customer disputes.
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 October of 2021, FINRA case #21-02702 was filed by a customer of OneAmerica Securities, alleging that Ward recommended an unsuitable real estate investment causing damages of $50,000. The case is pending.
Another OneAmerica Securities customer filed FINRA case #21-02582 in 10/2921 also alleging unsuitable real estate investment recommendations by Ward and is seeking damages of $100,000. This case is still pending.
Ward has been employed by Woodbury Financial Services, Inc. since March of 2019, Before that he was with Questar Asset Management and OneAmerica Securities. Ward discloses a business affiliation with Gateway Capital Advisors in St. Louis.
If you had an account with Dustin Ward that suffered losses, you may be entitled to collect damages from his employer. Call to discuss your options.
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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