THOMAS LASLEY HOLTZ is currently employed as a Broker and/or Investment Adviser at FSC SECURITIES CORPORATION located at 6478 CENTERVILLE BUSINESS PARKWAY, CENTERVILLE, OH, 45459.
THOMAS LASLEY HOLTZ has worked at FSC SECURITIES CORPORATION since January 27, 2014
Disclosure History
THOMAS LASLEY HOLTZ has 1 Disclosure Event(s).
Date: September 09, 2009 Category: Customer Dispute Allegations: CLIENT IS ALLEGING 1.)NEGLIGENT MISREPRESENTATION; 2.) BREACH OF FIDUCIARY DUTY; AND 3.)NEGLIGENCE IN CONNECTION WITH A LIFE INSURANCE POLICY AND A VIATICAL SETTLEMENT. ACTIVITIES OCCURED BETWEEN 11/7/2005 AND 7/9/2009. Damage Amount Requested: $2,500,000.00 Settlement Amount: $800,000.00 Broker Comment: DURING THE DISCOVERY PROCESS MY CLIENT FILE WAS REVIEWED ALONG WITH LINCOLN BENEFIT LIFE'S RECORED PHONE CONVERSATIONS BETWEEN THEIR POLICY-OWNER SERVICE DEPARTMENT AND ME. LINCOLN BENEFIT LIFE OFFERED TO SETTLE AT THAT POIN; AND THEY REQUESTED NO SETTLEMENT FUNDS FROM ME OR MY FIRM - NOR DID THE PLAINTIFF REQUEST ANY CONTRIBUTION TOWARD SETTLEMENT FROM ME. THE SETTLEMENT DOCUMENTS SPECIFICALLY ACKNOWLEDGE THAT ALL ALLEGATIONS OF ANY CHARGES MADE AGAINST ME IN THIS LAWSUIT WERE RETRACTED. THE CONCLUSTION ONE DRAWS FROM THESE FACTS IS THAT LINCOLN BENEFIT LIFE ACKNOWLEDGES THAT THE PROBLEM AROSE BY VIRTUE OF THEIR ERRORS ALONE AND NONE OF MINE. FOR THE INTERESTED PARTY THERE IS A COMPLETE PACKET THAT DOCUMENTS THESE FACTS.
More Information
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
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.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
To view the full report for THOMAS LASLEY HOLTZ, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.