Andrea Wood Barred by Indiana
Andrea Wood (CRD #: 2000589), a previously registered broker with Integrity Brokerage, is the subject of a regulatory action in Indiana. This is according to her BrokerCheck record, accessed on November 1, 2023. Keep reading for more details.
On July 28, 2023, the Indiana Securities Division alleged that Andrew Wood engaged a statutorily disqualified and suspended adviser to provide investment advisory services from 2016 through 2020. According to the allegations, 90% to 100% of Andrea Wood’s investment advisory recommendations during that period came from that person. She allegedly paid him $1,000,000 and reimbursed him for costs associated with operating his business.
Indiana permanently barred Andrea Wood as a result of these allegations.
FINRA Fine and Suspension
As a result of the same allegations, FINRA fined her $15,000 and suspended her for one year. Statutory disqualification indicates that an individual has been named in a disqualifying event, such as a criminal felony charge or a professional bar.
Andrea Wood has passed the following exams:
- Series 66 – Uniform Combined State Law Examination
- SIE – Securities Industry Essentials Examination
- Series 7 General Securities Representative Examination
During her 18 years of experience, she has registered with the following firms:
- Integrity Brokerage (CRD #: 117589)
- Finance 500 (CRD #: 12981)
- Gunnallen Financial (CRD #: 17609)
- Morgan Stanley DW (CRD #: 7556)
Kurta Law Can Help
If you worked with Andrea Wood and have concerns about your investments, please contact us today at 877-600-0098 or email@example.com for a free consultation.
For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.