THOMAS PATRICK CARROLL is currently employed as a Broker and/or Investment Adviser at SECURITIES AMERICA, INC. located at 21 S CALIFORNIA ST STE 308, VENTURA, CA, 93001.
THOMAS PATRICK CARROLL has worked at SECURITIES AMERICA, INC. since December 01, 2014
Disclosure History
THOMAS PATRICK CARROLL has 3 Disclosure Event(s).
Date: January 28, 2010 Category: Customer Dispute Allegations: THE CUSTOMER ALLEGES MISREPRESENTATION AND UNSUITABLE INVESTMENT RECOMMENDATIONS IN JUNE 2008. Damage Amount Requested: $23,330.00 Broker Comment: CLAIMANT'S CLAIMS WERE DENIED IN THEIR ENTIRETY.
Date: June 02, 2003 Category: Customer Dispute Allegations: DISCLOSURE OF FEES - 2002 Damage Amount Requested: $5,000.00
Date: June 13, 2002 Category: Customer Dispute Allegations: FAILURE TO FOLLOW INSTRUCTIONS. 4/2/2002 Damage Amount Requested: $24,454.00
More Information
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