Potomac Analytics' Logo

FINRA Broker Allegations

Allegations against: Thomas G Gresham

Allegation type: Customer Dispute

Allegation status: Settled

The allegations read: Attorney submits claim on behalf of client alleging unsuitable recommendations, failure of the firm to supervise, breach of fiduciary duties, breach of the kansas securities act and unjust enrichment. Seeks compensatory and punitive damages as well as costs, fees and interest. (9/01/2007-10/31/2008)

Back