Expertise
Offering Viedo Testimony for Virtual Hearings
Greg Wood specializes in broker-dealer issues linked to both customer and Intra-industry disputes.
Products:
Common Stock ~ Bonds ~ Real Estate Investment Trusts ~ Mutual Funds ~ Options ~ Private Equities ~ Preferred Stock ~ Annuities ~ Exchange Traded Funds ~ Limited Partnerships ~ Municipal Bond Funds ~ Variable Annuities ~ Business Development Company ~ 401K ~ Structured Products – Commodities Futures ~ Private Placements ~ Leveraged and Inverse Exchange Traded Funds
Customer Arbitration Controversy Topics:
Breach of Fiduciary Duty ~ Negligence ~ Breach of Contract ~ Failure to Supervise ~ Misrepresentation ~ Suitability (Know Your Customer) ~ Omission of Facts ~ Fraud ~ Violation of Blue-Sky Laws ~ Breach of Regulation BI ~ Manipulation ~ Elder Abuse ~ Unauthorized Trading ~ Errors Charges ~ Churning ~ Margin ~ Branch Office Procedures ~ Selling Away ~ Third-Party Trading Authorization ~ Investment Strategies ~ Concentration ~ Reg
(For search purposes, not intended to be a comprehensive list)
Expertise
Offering Viedo Testimony for Virtual Hearings
Greg Wood specializes in broker-dealer issues linked to both customer and Intra-industry disputes.
Products:
Common Stock ~ Bonds ~ Real Estate Investment Trusts ~ Mutual Funds ~ Options ~ Private Equities ~ Preferred Stock ~ Annuities ~ Exchange Traded Funds ~ Limited Partnerships ~ Municipal Bond Funds ~ Variable Annuities ~ Business Development Company ~ 401K ~ Structured Products – Commodities Futures ~ Private Placements ~ Leveraged and Inverse Exchange Traded Funds
Customer Arbitration Controversy Topics:
Breach of Fiduciary Duty ~ Negligence ~ Breach of Contract ~ Failure to Supervise ~ Misrepresentation ~ Suitability (Know Your Customer) ~ Omission of Facts ~ Fraud ~ Violation of Blue-Sky Laws ~ Breach of Regulation BI ~ Manipulation ~ Elder Abuse ~ Unauthorized Trading ~ Errors Charges ~ Churning ~ Margin ~ Branch Office Procedures ~ Selling Away ~ Third-Party Trading Authorization ~ Investment Strategies ~ Concentration ~ Reg
(For search purposes, not intended to be a comprehensive list)
Greg Wood, an articulate securities expert witness, combines 35 years as a securities industry professional with an expert witness business that began in 2004 to help clients present their cases in arbitration or court. Greg has demonstrated a successful record of accomplishment, being retained by over 175 attorneys nationwide in more than 350 matters. Greg Wood has given expert testimony more than 70 times.
During Greg's 35-year securities industry career he:
*** Managed stockbrokers or their managers for 17 years
*** Was a retail stock, bond, and commodities broker for 13 years
*** Was in training and administrative positions for the remainder
Since 2003, Greg Wood has been a chairman-trained FINRA and NFA Arbitrator.
Curriculum Vitae
SER Voting Member
