January 2020 – Greenville, South Carolina
According to publicly available records Ashley Charles Woodard , a stockbroker previously employed by VOYA Financial, discloses 7 pending customer disputes, one prior customer dispute and an outstanding judgment lien.
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.
The pending customer claims involving Mr. Woodard include:
- FINRA case 19-3304-filed in 11/2019 by a customer of VOYA Financial and Capital Investment Group alleging unsuitable recommendations in illiquid alternative investments. The customer seeks damages of $100,000.
- FINRA case 19-0624-In 3/2019 a customer of his prior employers, Voya Financial Advisors and IFS Securities, alleged that Woodard advised him to liquidate his entire portfolio and invest in unsuitable, high risk, high fee and illiquid investments. The investments include annuities, direct investments, limited partnerships and real estate securities. This matter is currently pending. No amount of damages is specified.
- FINRA Case 19-01031- Customer of VOYA and IFS Securities seeks damages of $100,000 for losses related to unsuitable recommendation to invest in illiquid real estate security.
- FINRA Case 19-0930-Customer of VOYA, IFS and Capital Investment Group seeks damages of $1 million for unsuitable recommendations to invest in private placements.
- FINRA Case 19-01067-Customer of VOYA, IFS and Capital Investment Group seeks damages of between $1 million & $5 million for unsuitable recommendation to invest in illiquid limited partnerships and real estate securities.
Woodard also discloses a currently outstanding lien in favor of the Internal Revenue Service in the amount of $53,676, for tax years 2014,2015, and 2016. The lien is recorded in the Recorder Office of Greenville County, South Carolina.
Woodard is currently employed by NY Life Securities. His prior employment history includes: IFS Securities 2/2017-11/2017, Voya Financial Advisors 6/2013-2/2017 and Capital Investment Group 7/2011-6/2013.
Woodard discloses business affiliations with West End Financial Strategies and Eagle Strategies.
If you have losses in an account handled by Ashley C. Woodard, contact us for a no charge consultation to learn how you may be entitled 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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