TERRY RICHARD HOLCOMB

TERRY RICHARD HOLCOMB is currently employed as a Broker and/or Investment Adviser at T.S. PHILLIPS INVESTMENTS, INC. located at 3555 NW 58TH, SUITE 600, OKLAHOMA CITY, OK, 73112.

TERRY RICHARD HOLCOMB has worked at T.S. PHILLIPS INVESTMENTS, INC. since March 21, 2003

Disclosure History

TERRY RICHARD HOLCOMB has 2 Disclosure Event(s).

Date: August 28, 1995
Category: Regulatory

Date: July 24, 1995
Category: Employment Separation After Allegations
Firm Name: ROBERT THOMAS SECURITIES
Termination Type: Permitted to Resign
Allegations: NASD CASE NO CO5950034CUSTOMER COMPLAINT RELATED TO FORGEDSIGNATURE ON NEW CLIENT AGREEMENT. NEGOTIATED SETTLEMENT WITHCUSTOMER OF $5,146.82 ON ONE ACCOUNT AND $1558.57 ON A RELATEDACCOUNT, FOR A TOTAL OF $6705.39
Broker Comment: $5,000 FINE WITH NO SUSPENSION OR LICENSERESTRICTIONS.CUSTOMERS ANDERSON AND HUSSMAN (MOTHER ANDDOUGHTER) SIGNED MUTUAL FUND APPLICATIONS, PROSPECTUS RECEIPTSAND ENDORSED THEIR CHECKS AFTER DISCUSSING THE PUTNAM U.S.GOVERNMENT MUTUAL FUND AND OTHER ALTERNATIVE INVESTMENTS I DIDNOT HAVE A NEW CLIENT AGREEMENT AT THE BRANCH OF THE CREDITUNION, AND AFTER NOT REACHING THE CLIENTS I SIGNED THEIR NAMESTO THE NEW CLIENT FORM.

More Information

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 TERRY RICHARD HOLCOMB, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.