{"id":9070,"date":"2020-06-01T09:43:04","date_gmt":"2020-06-01T13:43:04","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=9070"},"modified":"2020-06-01T09:43:04","modified_gmt":"2020-06-01T13:43:04","slug":"stephen-fry-barred-by-finra-after-1-2m-funds-conversion","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/stephen-fry-barred-by-finra-after-1-2m-funds-conversion\/","title":{"rendered":"Stephen Fry Barred By FINRA After $1.2M Funds Conversion"},"content":{"rendered":"<p><img loading=\"lazy\" decoding=\"async\" class=\"alignleft wp-image-8286 size-medium\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2019\/05\/Steal1-300x200.jpg\" alt=\"Stephen Fry (Stephen Douglas Fry CRD: 2928258) is a former registered broker and investment advisor whose last known employer was Woodbury Financial Services, Inc. (CRD#:421) of Germantown, TN. His previous employer was H.D. Vest Investment Services (CRD#:13686) of Cordoba, TN. He has been in the industry since 1998. As a financial advisor with Woodbury Financial Services, Fry was able to operate as Fry Financial Services in Germantown, Tennessee. This business model is frequently used by independent contractors or others affiliated with small or regional brokerage firms. However, Woodbury remains responsible for the acts of their financial advisors or stockbrokers and are required to maintain a supervisory system and to comply with FINRA rules and regulations.\" width=\"300\" height=\"200\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2019\/05\/Steal1.jpg 300w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2019\/05\/Steal1-180x120.jpg 180w\" sizes=\"auto, (max-width: 300px) 100vw, 300px\" \/>Stephen Fry (Stephen Douglas Fry CRD: <a href=\"https:\/\/brokercheck.finra.org\/individual\/summary\/2928258\" target=\"_blank\">2928258<\/a>) is a former registered broker and investment advisor whose last known employer was Woodbury Financial Services, Inc. (CRD#:421) of Germantown, TN. His previous employer was H.D. Vest Investment Services (CRD#:13686) of Cordoba, TN. He has been in the industry since 1998.<\/p>\n<p>As a financial advisor with Woodbury Financial Services, Fry was able to operate as Fry Financial Services in Germantown, Tennessee. This business model is frequently used by independent contractors or others affiliated with small or regional brokerage firms. However, Woodbury remains responsible for the acts of their financial advisors or stockbrokers and are required to maintain a supervisory system and to comply with FINRA rules and regulations. <a href=\"https:\/\/www.silverlaw.com\/blog\/stephen-fry-barred-by-finra-after-1-2m-funds-conversion\/#more-9070\" class=\"more-link\">Continue reading \u203a<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>Stephen Fry (Stephen Douglas Fry CRD: 2928258) is a former registered broker and investment advisor whose last known employer was Woodbury Financial Services, Inc. (CRD#:421) of Germantown, TN. His previous employer was H.D. Vest Investment Services (CRD#:13686) of Cordoba, TN. He has been in the industry since 1998. As a financial advisor with Woodbury Financial [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[577,580],"tags":[],"class_list":["post-9070","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions","category-stockbroker-misconduct"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.4 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>Stephen Fry Barred By FINRA After $1.2M Funds Conversion<\/title>\n<meta name=\"description\" content=\"Stephen Fry is a former registered broker with Woodbury Financial Services, Inc. of Germantown, TN FINRA barred by FINRA after $1.2M funds conversion.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.silverlaw.com\/blog\/stephen-fry-barred-by-finra-after-1-2m-funds-conversion\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"Stephen Fry Barred By FINRA After $1.2M Funds Conversion\" \/>\n<meta name=\"twitter:description\" content=\"Stephen Fry is a former registered broker with Woodbury Financial Services, Inc. of Germantown, TN FINRA barred by FINRA after $1.2M funds conversion.\" \/>\n<meta name=\"twitter:image\" content=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2019\/05\/Steal1-300x200.jpg\" \/>\n<meta name=\"twitter:label1\" content=\"Written by\" \/>\n\t<meta name=\"twitter:data1\" content=\"Silver Law Group\" \/>\n\t<meta name=\"twitter:label2\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data2\" content=\"3 minutes\" \/>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"Stephen Fry Barred By FINRA After $1.2M Funds Conversion","description":"Stephen Fry is a former registered broker with Woodbury Financial Services, Inc. of Germantown, TN FINRA barred by FINRA after $1.2M funds conversion.","robots":{"index":"index","follow":"follow","max-snippet":"max-snippet:-1","max-image-preview":"max-image-preview:large","max-video-preview":"max-video-preview:-1"},"canonical":"https:\/\/www.silverlaw.com\/blog\/stephen-fry-barred-by-finra-after-1-2m-funds-conversion\/","twitter_card":"summary_large_image","twitter_title":"Stephen Fry Barred By FINRA After $1.2M Funds Conversion","twitter_description":"Stephen Fry is a former registered broker with Woodbury Financial Services, Inc. of Germantown, TN FINRA barred by FINRA after $1.2M funds conversion.","twitter_image":"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2019\/05\/Steal1-300x200.jpg","twitter_misc":{"Written by":"Silver Law Group","Est. reading time":"3 minutes"},"schema":{"@context":"https:\/\/schema.org","@graph":[{"@type":"Article","@id":"https:\/\/www.silverlaw.com\/blog\/stephen-fry-barred-by-finra-after-1-2m-funds-conversion\/#article","isPartOf":{"@id":"https:\/\/www.silverlaw.com\/blog\/stephen-fry-barred-by-finra-after-1-2m-funds-conversion\/"},"author":{"name":"Silver Law Group","@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/de64d999508b1ad10d608a99f0d2e752"},"headline":"Stephen Fry Barred By FINRA After $1.2M Funds Conversion","datePublished":"2020-06-01T13:43:04+00:00","mainEntityOfPage":{"@id":"https:\/\/www.silverlaw.com\/blog\/stephen-fry-barred-by-finra-after-1-2m-funds-conversion\/"},"wordCount":552,"image":{"@id":"https:\/\/www.silverlaw.com\/blog\/stephen-fry-barred-by-finra-after-1-2m-funds-conversion\/#primaryimage"},"thumbnailUrl":"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2019\/05\/Steal1-300x200.jpg","articleSection":["FINRA Disciplinary Actions","Stockbroker Misconduct"],"inLanguage":"en-US"},{"@type":"WebPage","@id":"https:\/\/www.silverlaw.com\/blog\/stephen-fry-barred-by-finra-after-1-2m-funds-conversion\/","url":"https:\/\/www.silverlaw.com\/blog\/stephen-fry-barred-by-finra-after-1-2m-funds-conversion\/","name":"Stephen Fry Barred By FINRA After $1.2M Funds Conversion","isPartOf":{"@id":"https:\/\/www.silverlaw.com\/blog\/#website"},"primaryImageOfPage":{"@id":"https:\/\/www.silverlaw.com\/blog\/stephen-fry-barred-by-finra-after-1-2m-funds-conversion\/#primaryimage"},"image":{"@id":"https:\/\/www.silverlaw.com\/blog\/stephen-fry-barred-by-finra-after-1-2m-funds-conversion\/#primaryimage"},"thumbnailUrl":"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2019\/05\/Steal1-300x200.jpg","datePublished":"2020-06-01T13:43:04+00:00","author":{"@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/de64d999508b1ad10d608a99f0d2e752"},"description":"Stephen Fry is a former registered broker with Woodbury Financial Services, Inc. of Germantown, TN FINRA barred by FINRA after $1.2M funds conversion.","breadcrumb":{"@id":"https:\/\/www.silverlaw.com\/blog\/stephen-fry-barred-by-finra-after-1-2m-funds-conversion\/#breadcrumb"},"inLanguage":"en-US","potentialAction":[{"@type":"ReadAction","target":["https:\/\/www.silverlaw.com\/blog\/stephen-fry-barred-by-finra-after-1-2m-funds-conversion\/"]}]},{"@type":"ImageObject","inLanguage":"en-US","@id":"https:\/\/www.silverlaw.com\/blog\/stephen-fry-barred-by-finra-after-1-2m-funds-conversion\/#primaryimage","url":"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2019\/05\/Steal1-300x200.jpg","contentUrl":"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2019\/05\/Steal1-300x200.jpg"},{"@type":"BreadcrumbList","@id":"https:\/\/www.silverlaw.com\/blog\/stephen-fry-barred-by-finra-after-1-2m-funds-conversion\/#breadcrumb","itemListElement":[{"@type":"ListItem","position":1,"name":"Home","item":"https:\/\/www.silverlaw.com\/blog\/"},{"@type":"ListItem","position":2,"name":"Stephen Fry Barred By FINRA After $1.2M Funds Conversion"}]},{"@type":"WebSite","@id":"https:\/\/www.silverlaw.com\/blog\/#website","url":"https:\/\/www.silverlaw.com\/blog\/","name":"Securities Arbitration Lawyers Blog","description":"Published by Securities Arbitration Lawyers \u2014 Silver Law Group","potentialAction":[{"@type":"SearchAction","target":{"@type":"EntryPoint","urlTemplate":"https:\/\/www.silverlaw.com\/blog\/?s={search_term_string}"},"query-input":{"@type":"PropertyValueSpecification","valueRequired":true,"valueName":"search_term_string"}}],"inLanguage":"en-US"},{"@type":"Person","@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/de64d999508b1ad10d608a99f0d2e752","name":"Silver Law Group","image":{"@type":"ImageObject","inLanguage":"en-US","@id":"https:\/\/secure.gravatar.com\/avatar\/9eb0a691642ae95c68ee1c45b5f50f35bae76a41f3d9f861c7bfd40c87661746?s=96&d=mm&r=g","url":"https:\/\/secure.gravatar.com\/avatar\/9eb0a691642ae95c68ee1c45b5f50f35bae76a41f3d9f861c7bfd40c87661746?s=96&d=mm&r=g","contentUrl":"https:\/\/secure.gravatar.com\/avatar\/9eb0a691642ae95c68ee1c45b5f50f35bae76a41f3d9f861c7bfd40c87661746?s=96&d=mm&r=g","caption":"Silver Law Group"}}]}},"jetpack_featured_media_url":"","_links":{"self":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts\/9070","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/users\/2"}],"replies":[{"embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/comments?post=9070"}],"version-history":[{"count":1,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts\/9070\/revisions"}],"predecessor-version":[{"id":9071,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts\/9070\/revisions\/9071"}],"wp:attachment":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/media?parent=9070"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/categories?post=9070"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/tags?post=9070"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}