The Financial Industry Regulatory Authority (FINRA) recently barred former Securities America broker Judith Woodhouse for allegations that she violated firm policies related to the borrowing of funds. She is also accused of selling private placements and for being involved in private securities transactions that totaled over $500,000. For this, she was fined $10,000 and suspended for three months.
Judith Woodhouse was registered with The Equitable Life Assurance Society of the United States from June 1998 until January 2000, AXA Advisors in New York, New York from June 1998, United Planners’ Financial Services of America from January 2003 until May 2004, Centaurus Financial in Anaheim, California from May 2004 until February 2005, EPlanning Securities from February 2005 until December 2008, and Securities America in Irvine, California from July 2013 until September until 2014. She has one customer dispute against her. She is no longer licensed within the industry and FINRA permanently barred her from associating with any firm.
Firms such as Securities America have a duty to reasonably supervise their brokers, and, if they do not, can be held liable for investment losses. If you lost money with Judith Woodhouse, Securities America can be sued in the FINRA arbitration forum on a contingency fee basis. Please call our securities law firm at 312-332-4200 to speak to an attorney about your options. The call is free with no obligation.
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