Douglas A. Troszak

03/29/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. NORTH WOODWARD FINANCIAL CORP. (CRD No. 104097), and DOUGLAS A. TROSZAK (CRD No. 2219763), Respondents. Disciplinary Proceeding No. 2010021303301 Hearing Officer - LOM HEARING PANEL DECISION March 29, 2012 Respondents Douglas A. Troszak and his firm, North Woodward Financial Corp., violated Article V, Section 2 of the FINRA By-Laws, NASD Rule 2110, and FINRA Rule 2010, by failing to amend Troszak's

05/08/2015: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934. Release No. 74913 / May 8, 2015 Admin. Proc. File No. 3-15990 In the Matter of the Application of NORTH WOODWARD FINANCIAL CORPORATION and DOUGLAS A. TROSZAK For Review of Disciplinary Action Taken by FINRA CORRECTED OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION-REVIEW OF DISCIPLINARY PROCEEDINGS Failure to Provide Requested Information Failure to Timely Amend For U4 Associated person, officer, and

06/29/2016: NOT RECOMMENDED FOR FULL-TEXT PUBLICATION No. 15-3729 UNITED STATES COURT OF APPEALS FOR THE SIXTH CIRCUIT DOUGLAS A. TROSZAK, Petitioner, v. SECURITIES AND EXCHANGE COMMISSION, Respondent. FILED Jun 29, 2016 DEBORAH S. HUNT, Clerk ON PETITION FOR REVIEW OF AN ORDER OF THE SECURITIES AND EXCHANGE COMMISSION ORDER Before: KEITH, GIBBONS, and DONALD, Circuit Judges. Douglas A. Troszak, proceeding pro se, petitions this court for review of an order of the Securities and Exchange Commission sustaining

Reference 2010021303301data-portal.finra.orgdata-portal.finra.orgfinra.orgdata-portal.finra.org

08/14/2009: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Rel. No. 60505 / August 14, 2009 Admin. Proc. File No. 3-13324 In the Matter of the Application of NORTH WOODWARD FINANCIAL CORP. and DOUGLAS A. TROSZAK 690 East Maple Birmingham, Michigan 48009-6353 For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION - REVIEW OF DISCIPLINARY PROCEEDINGS Failure to Comply with Recordkeeping and Reporting Requirements Conduct

Reference E8A2005014902finra.orgdata-portal.finra.org

05/16/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. NORTH WOODWARD FINANCIAL CORP. (CRD No. 104097), and DOUGLAS A. TROSZAK (CRD No. 2219763), Respondents. Disciplinary Proceeding No. 2011028502101 Hearing Officer-Andrew H. Perkins HEARING PANEL DECISION May 16,2014 Respondents North Woodward Financial Corp. and Douglas A. Troszak (1) failed to respond in a timely manner to FINRA requests for information and denied FINRA access to the firm's premises

07/19/2016: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. North Woodward Financial Corp. Birmingham, MI, and Douglas A. Troszak Birmingham, MI, Respondents. DECISION Complaint No. 2011028502101 Dated: July 19, 2016 Associated person failed to comply fully with FINRA information and document requests, did not prepare required supervisory reports and certifications, failed to establish an adequate supervisory system, did not

Reference 2011028502101data-portal.finra.orgdata-portal.finra.orgfinra.org

07/21/2014: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. North Woodward Financial Corp. Birmingham, MI, and Douglas A. Troszak Birmingham, MI, Respondents. DECISION Complaint No. 2010021303301 Dated: July 21, 2014 Respondents failed to amend principal's Form U4 to disclose that he was subject to a federal tax lien and failed to respond completely to FINRA information requests. Held, findings affirmed and sanctions

Reference 2010021303301data-portal.finra.orgfinra.org