THOMAS QUINCY JONES is currently employed as a Broker and/or Investment Adviser at BRIDGE CAPITAL ASSOCIATES, INC. located at 3060 Peachtree Road, NW, Suite 1830, Atlanta, GA, 30305.
THOMAS QUINCY JONES has worked at BRIDGE CAPITAL ASSOCIATES, INC. since January 04, 2018
Disclosure History
THOMAS QUINCY JONES has 1 Disclosure Event(s).
Date: December 21, 2009 Category: Customer Dispute Allegations: TIME FRAME: FEBRUARY 26, 2008 TO APRIL 6, 2009THE CLIENT ALLEGES THAT HIS FINANCIAL ADVISORS STATED THAT THE PRINCIPAL AMOUNT OF HIS INVESTMENT IN A LEHMAN STRUCTURED PRODUCT WAS GUARANTEED AND PROTECTED UPON MATURITY OF THE PRODUCT. THE CLIENT FURTHER ALLEGED THAT THIS SECURITY WAS NOT IN LINE WITH HIS INVESTMENT GOALS. Damage Amount Requested: $100,000.00 Broker Comment: THE INDIVIDUAL WHO SENT THE E-MAIL AT ISSUE STATED TO MY COLLEAGUE AND A UBS MANAGER THAT WE DID NOT DO ANYTHING WRONG AND THAT HE DOES NOT BLAME ME FOR THE FAILURE OF LEHMAN BROTHERS. IN FACT, HE REMAINS A CLIENT TO THIS DAY. THE PRODUCT IN QUESTION WAS REPRESENTED COMPLETELY ACCURATELY. THE CLIENT STATED THAT HIS ISSUE WAS WITH THE PRODUCT, NOT HIS FINANCIAL ADVISORS. THE INVESTMENT IN QUESTION WAS PURCHASED LONG BEFORE LEHMAN BROTHERS BANKRUPTCY, WHICH WAS NOT FORESEEABLE AT THE TIME OF THE INVESTMENT. I DO NOT BELIEVE THAT THE E-MAIL WAS MEANT TO BE A COMPLAINT ABOUT ME; HOWEVER, AS THE ADVISOR OF RECORD, I AM REQUIRED TO MAKE THIS SUBMISSION.
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