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
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
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
To view the full report for HARVEY MICHEAL THOMAS, click here.
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.
How to choose a broker or investment adviser. Learn More