GUY MARTIN THOMPSON is currently employed as a Broker and/or Investment Adviser at RBC CAPITAL MARKETS, LLC located at 1 Cowboys Way, Suite 450, Frisco, TX, 75034.
GUY MARTIN THOMPSON has worked at RBC CAPITAL MARKETS, LLC since March 02, 1998
Disclosure History
GUY MARTIN THOMPSON has 2 Disclosure Event(s).
Date: February 11, 1992 Category: Customer Dispute Allegations: UNSUITABLE RECOMMENDATION FOR PURCHASE OFDEAN WITTER HIGH YIELD SECURITIES, A MUTUAL FUND. ALLEGESINVESTMENT LOSS OF $50,525.19 Damage Amount Requested: $50,525.19 Settlement Amount: $40,000.00 Broker Comment: DW PAID $40K TO CUSTOMER IN EXCHANGE FOR RELEASEOF ALL CLAIMS.DW MADE SETTLEMENT SOLELY TO AVOID EXPENSE &UNCERTAINTY OF LITIGATION THOMPSON WASN'T ASKED TO CONTRIBUTETO SETTLEMENT.
Date: January 27, 1989 Category: Customer Dispute Allegations: COMPLAINT ALLEGED THAT A.E. GUY M. THOMPSONMADE UNSUITABLE INVESTMENT RECOMMENDATIONS AND CHURNED [CUSTOMER'S] ACCOUNT. THE COMPLAINT SOUGHT DAMAGES IN THE AMOUNTOF $80,000. ON MAY 16, 1989, [CUSTOMER] AMENDED HIS CLAIM TOREDUCE THE AMOUNT OF DAMAGES TO $40,000. Damage Amount Requested: $40,000.00 Settlement Amount: $15,000.00 Broker Comment: DEAN WITTER FILED AN ANSWER DENYING ALL MATERIALALLEGATIONS OF THE COMPLAINT. A WEEK BEFORE THE HEARING, WITHOUTADMISSION OF LIABILITY, DEAN WITTER SETTLED THE COMPLAINT BYPAYMENT OF $15,000. MR. THOMPSON DID NOT CONTRIBUTE TO THE SETTLEMENT.
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