Brian Thomas is a Florida based securities broker. He has worked in the securities industry for twenty-six years. During his career, he has been registered with four different securities firms.
His registrations include; Mclaughlin, Piven, Vogel Securities (1992-1993), A.G. Edwards & Sons (1993-1998), Raymond James & Associates (1998-2009), and Harbor Financial Services (2009-Present).
Brian Thomas’ publicly available FINRA BrokerCheck report shows that he has received multiple customer complaints in his career.
In January 2002, a customer alleged securities fraud, common law fraud, breach of fiduciary duty, unsuitability, misrepresentation, and failure to provide material information. This case was settled for $100,000 in damages.
In December 2009, a customer alleged fraud, breach of fiduciary duty, violation of Florida statutes, and violation FINRA and SEC rules and regulations. This case was settled for $25,000 in damages.
In September 2011, a customer alleged breach of fiduciary duty, negligence, and breach of contract. The alleged transgressions taking place between 1996 and 2011. This case was settled for $75,000 in damages.
In July 2017, a customer alleged unsuitable investments, excessive trading, and unauthorized trading. The alleged transgressions taking place between April 2015, and March 2017. This case was settled for $15,000 in damages.
Oakes & Fosher dedicates its entire legal practice to helping investors across the nation. If you, or someone you know, have lost money investing with Brian Thomas, please contact Oakes & Fosher for a free and private consultation.