THOMAS OHEARN EIFLER is currently employed as a Broker and/or Investment Adviser at J.J.B. HILLIARD, W.L. LYONS, LLC located at 122 Fairfax Avenue, Louisville, KY, 40207.
THOMAS OHEARN EIFLER has worked at J.J.B. HILLIARD, W.L. LYONS, LLC since February 28, 2017
Disclosure History
THOMAS OHEARN EIFLER has 5 Disclosure Event(s).
Date: November 28, 2017 Category: Customer Dispute Allegations: The clients allege the rep misrepresented the fixed income securities purchased in the account. The positions were purchased with a prior firm before being transferred to a Hilliard Lyons account.
Date: June 06, 2017 Category: Financial Type: Bankruptcy
Date: February 28, 2017 Category: Employment Separation After Allegations Firm Name: THE INVESTMENT CENTER INC Termination Type: Permitted to Resign Allegations: MR. EIFLER, SR. WAS A DEFENDANT IN A LAWSUIT FILED IN STATE COURT AGAINIST MR. TOM EIFLER, JR AND MR. TOM EIFLER, SR. REGARDING A BUSINESS THAT WAS NOT INVOLVED IN PROVIDING ANY INVESTMENT RELATED SERVICES. THE COURT FOUND MR.EIFLER, SR. LIABLE FOR TORTIOUS INTERFERENCE WITH PROSPECTIVE CONTRACTUAL RIGHTS, AIDING AND ABETTING, CIVIL CONSPIRACY, PUNITIVE DAMAGES FROM TORTIOUS INTERFERENCE, AND PUNITIVE DAMAGES FOR FRAUD. NONE OF THE FINDINGS INVOLVED ANY INVESTMENT RELATED SERVICES. Broker Comment: Mr. Tom Eifler, Sr. was a defendant in a lawsuit filed in state court against Mr. Eifler's son, Tom Eifler, Jr. regarding a business that was not involved in providing any investment related services. The lawsuit alleged tortious interference with contract and civil conspiracy to defraud against Mr. Eifler, Sr., not involving any investment related services. Mr. Eifler Sr. is appealing the judgment that has been entered against him in that case.
Date: February 28, 2017 Category: Employment Separation After Allegations Firm Name: THE INVESTMENT CENTER INC Termination Type: Permitted to Resign Allegations: FRAUD AND BREACH OF CONTRACT IN A STATE COURT ACTION FILED BY AN ALLEGED BUSINESS PARTNERS' CLAIMS FOR 50% OWNERSHIP OF A COMPANY ( OWNED BY REPRESENTATIVE ) AND FOR COMPENSATION AND EXPENSES FOR WORK ALLEGEDLY PERFORMED. Broker Comment: Mr. Tom Eifler, Sr. was a defendant in a lawsuit filed in state court against Mr. Eifler's son, Tom Eifler, Jr. regarding a business that was not involved in providing any investment related services. The lawsuit alleged tortious interference with contract and civil conspiracy to defraud against Mr. Eifler, Sr., not involving any investment related services. Mr. Eifler Sr. is appealing the judgment that has been entered against him in that case.
Date: December 14, 2016 Category: Judgment / Lien Judgment/Lien Amount: $5,038,000.00 Judgment/Lien Type: Civil Broker Comment: This Judgment arises from a lawsuit that was unrelated to the securities industry or my work as a investment advisor. The judgment is under appeal.
More Information
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BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
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