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John Woo is Facing an Investor Dispute

John Woo (CRD #: 2324482), a broker registered with TransAmerica Financial Advisors, is the subject of an investor dispute. This is according to his BrokerCheck record, accessed on March 26, 2024. Keep reading if you have questions regarding his alleged conduct. 

Investor Allegations

On February 7, 2024, a complainant alleged that John Woo failed to assist a client, their deceased spouse, with making premium payments and avoiding lapse of coverage. 

High Standards of Commercial Honor 

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Failing to help a client with making premium payments may violate this rule. 

Background Information 

John Woo has passed the following exams: 

  • Series 65 Uniform Investment Adviser Law Examination 
  • Series 63 Uniform Securities Agent State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 6 Investment Company Products / Variable Contracts Representative Examination
  • Series 26 Investment Company Products / Variable Contracts Principal Examination 

He is a registered broker in 16 states. 

During his 31 years of experience, he has registered with four firms: 

  • TransAmerica Financial Advisors (CRD #: 16164) 
  • Investment Advisors International (CRD #: 139233) 
  • World Group Securities (CRD #: 114473) 
  • WMA Securities (CRD #: 32625) 

Kurta Law Can Help 

If you have worked with John Woo and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors 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. Do not let securities fraud go unchecked. Start your recovery process today.

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