THOMAS EDWARD BOLES is currently employed as a Broker and/or Investment Adviser at CETERA ADVISORS LLC located at 1011 CAMINO DEL RIO S STE 530, SAN DIEGO, CA, 92108.
THOMAS EDWARD BOLES has worked at CETERA ADVISORS LLC since January 10, 2013
THOMAS EDWARD BOLES has 4 Disclosure Event(s).
Date: February 07, 2017 Category: Customer Dispute Allegations: The client alleges the product was an unsuitable investment. Damage Amount Requested: $11,538.26 Broker Comment: I deny any allegations made by the client. A thorough due diligence process found this investment suitable for a small percentage of her portfolio. The client enjoyed six years of dividends before the investment was forced to close. Never during the six years of ownership was suitability an issue and/or brought to my attention.
Date: October 16, 2012 Category: Customer Dispute Allegations: THE CLIENT BELIEVES NOW THAT PRODUCT WAS UNSUITABLE. Damage Amount Requested: $16,000.00 Broker Comment: THE REPRESENTATIVE BELIEVES THAT THIS ISSUE WAS ORIGINATED BY ANOTHER REGISTERED REPRESENTATIVE ATTEMPTING TO GET A NEW COMMISION OFF THE CLIENT. THIS PRODUCT WAS EXACTLY WHAT THE CLIENT WANTED.
Date: May 26, 2006 Category: Customer Dispute Allegations: CUSTOMER SENT LETTER TO CALIFORNIA DEPARTMENT OF INSURANCE ALLEGING SHE WAS PRESSURED INTO 2004 PURCHASE OF FIXED ANNUITY AND QUESTIONS THE APPROPRIATENESS OF THE INVESTMENT. A DAMAGE AMOUNT IS NOT SPECIFIED, BUT BELIEVED TO BE MORE THAN $5000. Damage Amount Requested: $5,000.00 Settlement Amount: $22,320.00 Broker Comment: THROUGH THE FINANCIAL PLANNING PROCESS, INVESTMENT WAS FOUND SUITABLE FOR CLIENTS NEEDS. INITIAL CUSTOMER COMPLAINT WAS DENIED. INTERNAL INVESTIGATION AT HRBFA FOUND THAT I DID NOT ACT INAPPROPRIATELY. I WAS NOT SERVED IN THIS LITIGATION REQUEST NOR DID I PARTICIPATE IN THE SETTLEMENT PROCESS.
Date: April 03, 2000 Category: Customer Dispute Allegations: CLAIMANTS MAINTAINED A BROKERAGE ACCOUNT WITH REGISTRANT'S EMPLOYING FIRM FROM JULY 1997 TO AUGUST 1999. CLAIMANTS ENGAGED IN A NUMBER OF EQUITY PURCHASE TRANSACTIONS THROUGHOUT THAT PERIOD, BOTH ON A SOLICITED AND UNSOLICITED BASIS. CLAIMANTS ALLEGE THAT DURING THE PERIOD MAY 1998 TO AUGUST 1999, REGISTRANT BREACHED HIS FIDUCIARY DUTY UNDER CALIFORNIA LAW TO CLAIMANTS, AND MADE FALSE AND MISLEADING REPRESENTATIONS. Damage Amount Requested: $64,213.34 Settlement Amount: $17,500.00 Broker Comment: PRESIDENTIAL BROKERAGE'S AND THOMAS BOLES' DECISION TO SETTLE WITH CLAIMANTS WAS NOT AN ADMISSION OF WRONGDOING, BUT SIMPLY A BUSINESS DECISION BASED ON THE POTENTIAL LEGAL COSTS, AND UNCERTAIN OUTCOME, OF AN ARBITRATION.
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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.
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