JAMES THOMAS ADCOCK is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 2548 LANDS END DRIVE, CARROLLTON, TX, 75006.
JAMES THOMAS ADCOCK has worked at LPL FINANCIAL LLC since November 29, 2011
Disclosure History
JAMES THOMAS ADCOCK has 2 Disclosure Event(s).
Date: November 14, 2011 Category: Employment Separation After Allegations Firm Name: SWS FINANCIAL SERVICES, INC. Termination Type: Discharged Allegations: IT WAS DISCOVERED THAT THE REPRESENTATIVE HAD ACCEPTED INCOMPLETE SIGNED DOCUMENTS FROM BROKERAGE CUSTOMERS IN VIOLATION OF FIRM POLICY. THE FIRM FOUND NO EVIDENCE THAT ANY CUSTOMER WAS HARMED AS A RESULT OF THIS ACTIVITY.
Date: August 05, 2003 Category: Customer Dispute Allegations: UNAUTHORIZED FIXED ANNUITY INVESTMENT CLAIMED BY INDIVIDUAL NOT PARTY TO NOR AUTHORITY OVER REGISTRANTS ACCOUNT RECEIVED ON 7/11/03. DURABLE POWER OF ATTORNEY FOR JOAN MAYO, A DIFFERENT INDIVIDUAL THAN THE COMPLAINTANTS, TO ACT ON BEHALF OF REGISTRANT RECEIVED ON 8/5/03. Damage Amount Requested: $18,785.00
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