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Josh Wood Terminated by Charles Schwab

Josh Wood (CRD #: 3223081) has been fired by Charles Schwab. This termination disclosure appears on his BrokerCheck record, accessed on February 12, 2024. Keep reading if you have questions regarding his alleged conduct as a broker. 

On December 14, 2023, Charles Schwab & Co. fired Josh Wood following allegations that he did not disclose charges brought against him by the Federal Trade Commission (FTC). The FTC is a government agency that enforces consumer protections against fraud and deceptive practices in the marketplace. 

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 disclose charges may violate this rule. 

Background Information 

Josh Wood has passed the following exams:

  • Series 66 Uniform Combined State Law Examination
  • Series 65 Uniform Investment Adviser Law Examination 
  • Series 63 Uniform Securities Agent State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 31 Futures Managed Funds Examination 
  • Series 7 General Securities Representative Examination 
  • Series 24 General Securities Principal Examination 

During 23 years of experience, he has registered with seven firms: 

  • Charles Schwab (CRD #: 5393) 
  • TD Ameritrade (CRD #: 7870) 
  • ING Financial Partners (CRD #: 2882) 
  • LPL Financial Corporation (CRD #: 6413) 
  • A.G. Edwards & Sons (CRD #: 4) 
  • Morgan Stanley DW (CRD #: 7556) 
  • Sunset Financial Services (CRD #: 3538) 

Kurta Law Can Help 

If you have worked with Josh Wood and you 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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