THOMAS DUDLEY FROST is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 7050 N FRESNO ST STE 105, FRESNO, CA, 93720-2975.
THOMAS DUDLEY FROST has worked at LPL FINANCIAL LLC since September 03, 2003
Disclosure History
THOMAS DUDLEY FROST has 1 Disclosure Event(s).
Date: April 24, 2009 Category: Customer Dispute Allegations: CUARDIAN ALLEGES THAT INVESTMENT RECOMMENDTIONS WERE NOT SUITABLE AND THAT WITHDRAWALS (MADE BY GUARDIAN HERSELF) SHOULD HAVE BEEN RESTRICTED. Damage Amount Requested: $19,687.45 Broker Comment: AFTER REVIEW, FIRM FOUND CUSTOMER'S UNSUITABILITY CLAIMS TO BE WITHOUT MERIT AND RESPONDED TO CUSTOMER DENYING ALL CLAIMS AND LIABILITY.
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