DAVID VAUGHN THOMAS is currently employed as a Broker and/or Investment Adviser at CETERA ADVISOR NETWORKS LLC located at 1910 PACIFIC AVENUE STE18650, DALLAS, TX, 75201.
DAVID VAUGHN THOMAS has worked at CETERA ADVISOR NETWORKS LLC since August 15, 2016
Disclosure History
DAVID VAUGHN THOMAS has 5 Disclosure Event(s).
Date: September 19, 2017 Category: Judgment / Lien Judgment/Lien Amount: $14,322.57 Judgment/Lien Type: Tax Broker Comment: THESE TAXES ARE DUE TO A DIVORCE I HAD IN 2015 IN DECEMBER AND ARE CURRENTLY BEING RESOLVED WITH THE IRS. ADDITIONALLY PAYMENTS BEING MADE WHILE ISSUE IS RESOLVED.
Date: September 19, 2017 Category: Judgment / Lien Judgment/Lien Amount: $13,016.64 Judgment/Lien Type: Tax Broker Comment: THESE TAXES ARE DUE TO A DIVORCE I HAD IN 2015 IN DECEMBER AND ARE CURRENTLY BEING RESOLVED WITH THE IRS. ADDITIONALLY PAYMENTS ARE BEING MADE WHILE ISSUE IS RESOLVED.
Date: September 19, 2017 Category: Judgment / Lien Judgment/Lien Amount: $54,449.20 Judgment/Lien Type: Tax Broker Comment: THESE TAXES ARE DUE TO A DIVORCE I HAD IN 2015 IN DECEMBER AND ARE CURRENTLY BEING RESOLVED WITH THE IRS. ADDITIONALLY PAYMENTS ARE BEING MADE WHILE RESOLVING THIS ISSUE.
Date: April 17, 2015 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT PREMIUMS THAT WERE ADDED TO THE CLIENT'S VARIABLE ANNUITY IN SEPTEMBER 2011 (9/22/2011) AND JANUARY 2012 (1/11/2012) WERE DONE SO WITHOUT AUTHORIZATION. Damage Amount Requested: $32,700.00
Date: January 20, 2007 Category: Customer Dispute Allegations: ORIGINALLY AN ORAL COMPLAINT. CUSTOMER ALLEGES FINANCIAL ADVISOR MADE MISREPRESENTATIONS. Damage Amount Requested: $5,920.94 Broker Comment: UPON INVESTIGATION, TEH COMPLAINT WAS FOUND TO BE WITHOUT MERIT. MERRILL LYNCH RESPONDED TO CLIENT BY LETTER DATED APRIL 17, 2007.
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