BRIAN ROBERT THOMAS is currently employed as a Broker and/or Investment Adviser at CETERA ADVISORS LLC located at 270 BROADWAY, LYNN, MA, 01904.

BRIAN ROBERT THOMAS has worked at CETERA ADVISORS LLC since October 03, 2016

Disclosure History

BRIAN ROBERT THOMAS has 1 Disclosure Event(s).

Date: July 24, 2017
Category: Customer Dispute
Allegations: Suitability of investment made in 2007. Client subsequently revised complaint to include a forgery allegation regarding a duplicate Form W-9 and incorporated this allegation into the filed arbitration.
Damage Amount Requested: $400,000.00
Settlement Amount: $115,000.00
Broker Comment: The RR contends through documentation that all new account documents, including the original, properly signed form in question, were duly submitted at account opening.

More Information

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