THOMAS EDWARD BROCKLEY

THOMAS EDWARD BROCKLEY is currently employed as a Broker and/or Investment Adviser at RBC CAPITAL MARKETS, LLC located at 455 PATROON CREEK BLVD., SUITE 200, ALBANY, NY, 12206-5011.

THOMAS EDWARD BROCKLEY has worked at RBC CAPITAL MARKETS, LLC since February 11, 2010

Disclosure History

THOMAS EDWARD BROCKLEY has 1 Disclosure Event(s).

Date: March 15, 2003
Category: Customer Dispute
Allegations: CLIENT ALLEGES UNSUITABLE INVESTMENTS AND EXCESSIVE TRADING. DAMAGES ESTIMATED TO EXCEED $5000.
Broker Comment: THESE ALLEGATIONS ARE MERITLESS IN THAT:WITH REGARDS TO CHURNING, THERE ARE NO COMMISSIONS CHARGED TO HER ACCOUNT AS IT IS A TOTALLY FEE BASED RELATIONSHIP WHICH ALLOWS FOR REBALANCING A PORTFOLIO WITH NO INDIVIDUAL TRANSACTION CHARGES. - IN REGARDS TO SUITABILITY, THE "2038 MATURITY FUND" IS A PERPETUAL PREFERRED STOCK WHICH HAS CALL FEATURES.

More Information

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