HARVEY MICHEAL THOMAS is currently employed as a Broker and/or Investment Adviser at AXA ADVISORS, LLC located at 2113 HIGH GATE STREET, FLORENCE, SC, 29505.
HARVEY MICHEAL THOMAS has worked at AXA ADVISORS, LLC since August 04, 1986
Disclosure History
HARVEY MICHEAL THOMAS has 2 Disclosure Event(s).
Date: April 07, 2015 Category: Customer Dispute Allegations: CLIENT ALLEGES MISREPRESENTATION IN THE SALE OF A 2013 VARIABLE ANNUITY. CLIENT ALSO ALLEGES THAT INITIALS ON THE APPLICATION WERE NOT HERS. CLIENT IS REQUESTING THAT THE FIRM INVESTIGATE THE MATTER. Damage Amount Requested: $11,000.00 Settlement Amount: $11,130.31 Broker Comment: THE FIRM AGREED TO REFUND THE APPLICABLE SURRENDER CHARGE RELATED TO THE TERMINATION/TRANSFER OF THE 2013 VARIABLE ANNUITY. LOSS TO FIRM: $11,130.31. RR THOMAS' ERRORS AND OMISSIONS CARRIER CONTRIBUTED $11,130.31 TO THE SETTLEMENT.
Date: December 11, 1998 Category: Customer Dispute Allegations: PLAINTIFFS ALLEGE THAT DEFENDANTS, INCLUDING MYSELF, RECOMMENDED AND MARKETED THE IWG HEALTH AND WELFAREFUND AS A PROVIDER OF HEALTH AND DENTAL CARE. PLAINTIFFS HAVE INCURRED MEDICAL CHARGES WHICH HAVE NOT BEEN PAID BY THE IWG HEALTH AND WELFARE FUND. ACTUAL DAMAGES ARE UNSPECIFIED BUT ARE ALLEGED TO EXCEED $60,000.00. NO SPECIFIC ALLEGATIONS ARE MADE ABOUT ME PERSONALLY OTHER THAN I MARKED THE IWG HEALTH AND WELFARE FUND. I AM AN AGENT OF EQUITABLE LIFE. Damage Amount Requested: $60,000.00
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