Our Staff has compiled our research into a database of FINRA Broker Disclosures for L.O. Thomas & Co. Inc.. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Albert Joseph Chevalier | 2122018 | 1 | 11/19/2018 | Customer Dispute | Final | $150,000.00 | $0.00 | See FINRA Report |
| John Wesley Risley | 844622 | 1 | 11/19/2018 | Customer Dispute | Final | $150,000.00 | $0.00 | See FINRA Report |
| Steven James Anuszewski | 1466642 | 3 | 06/16/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Daniel Edward Dutton | 1885716 | 2 | 11/16/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Daniel Edward Dutton | 1885716 | 2 | 07/22/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gary V Barbera | 5625409 | 2 | 06/26/2012 | Customer Dispute | Denied | $60,000.00 | $0.00 | See FINRA Report |
| Gary V Barbera | 5625409 | 2 | 06/08/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jess Laverne Marshall | 1876259 | 1 | 04/20/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kevin Frank McGuigan | 1052673 | 2 | 02/02/2007 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kevin Frank McGuigan | 1052673 | 2 | 02/18/2004 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |